Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dok? Claim Your ProfileDok Sang Chua is a registered investment advisor representative with UBS Financial Services Inc. Dok has over 20 years of experience in the financial services industry and is registered in New York and Texas. Dok has passed the Series 3, Series 7, Series 63, and Series 65 examinations. Dok's experience includes working at Salomon Smith Barney Inc., Chase Investment Services Corp., UBS International Inc. and UBS Financial Services Inc.. Dok has worked in various roles in the financial services industry.
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
NY
01/01/2010 - Present
UBS Financial Services Inc. (New York NY)
NY
11/10/2009 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
NY
08/15/2000 - 11/13/2009
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
10/21/1998 - 08/18/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 12/11/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/1999
Series 3 - National Commodity Futures Examination
BC
Issued 10/20/1998
Series 7 - General 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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