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Joshua Kai shun Chan

UBS Securities LLC

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About Joshua Kai shun Chan

Joshua Chan is a financial professional with over 14 years of experience in the securities industry. Joshua is currently registered with UBS Securities LLC in Stamford, Connecticut and has been registered with the firm since October 5, 2022. Prior to joining UBS Securities LLC, Joshua was employed with ROBERT W. BAIRD & CO. INCORPORATED in Tampa, Florida. Joshua has passed the Series 66, Series 87, Series 86, and Series 7 exams. Joshua holds active securities licenses in 52 states.

Firm Information

Joshua Chan 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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Joshua Chan’s Registration & Firm History

CT

10/05/2022 - Present

UBS Securities LLC (STAMFORD CT)

FL

08/18/2008 - 09/22/2022

ROBERT W. BAIRD & CO. INCORPORATED (TAMPA FL)

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Licenses & Designations

BOTH

Issued 10/06/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/16/2008

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/01/2008

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 08/16/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Joshua Kai shun Chan.
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