Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine Chua is a financial professional registered with UBS Asset Management (us) Inc., in New York, NY. Catherine has been in the industry for 4 years, and is actively registered with the state of New York. She is a Series 7, Series 63, and Series 79 licensed advisor and holds the SIE certification. She has previously held positions at Credit Suisse Securities (USA) LLC, and Goldman Sachs & Co. LLC.
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.
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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2
NY
05/01/2024 - Present
UBS Asset Management (us) Inc. (New York NY)
NY
06/19/2020 - 05/01/2024
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
09/18/2018 - 12/16/2019
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
BC
Issued 09/11/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/19/2020
Series 7TO - General Securities Representative Examination
BC
Issued 06/19/2020
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/2018
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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