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Andrew Yun Peng

UBS Securities LLC

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About Andrew Yun Peng

Andrew Yun Peng is a registered representative with UBS Securities LLC. Andrew has a Series 79TO and SIE license and has been in the industry since August 2023. Andrew is currently located at the firm's New York City office.

Firm Information

Andrew Peng is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Andrew Peng’s Registration & Firm History

NY

08/29/2023 - Present

UBS Securities LLC (New York NY)

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Licenses & Designations

BC

Issued 08/29/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 05/02/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Andrew Yun Peng.
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