Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Connie? Claim Your ProfileConnie Hong Cheng is a financial advisor who has been working in the industry since May 4, 1997. Connie is currently registered with UBS Financial Services Inc. and has held previous positions with UBS International Inc. and Olde Discount Corporation. Connie holds licenses for both Broker-Dealer and Investment Advisor, and is registered in multiple states. Connie specializes in providing financial advice to individuals, corporations, and charitable organizations. Connie is dedicated to providing personalized financial advice that helps clients reach their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
01/01/2010 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
01/03/2007 - 01/01/2010
UBS INTERNATIONAL INC. (SAN DIEGO CA)
CA
06/25/1998 - 01/05/2007
UBS FINANCIAL SERVICES INC. (SAN DIEGO CA)
MI
05/05/1997 - 07/02/1998
OLDE DISCOUNT CORPORATION (DETROIT MI)
IA
Issued 08/25/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/1997
Series 7 - General Securities Representative Examination
BC
Issued 05/02/1997
Series 52 - Municipal Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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