Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kent? Claim Your ProfileKent Sai Leung is an investment advisor representative with UBS Financial Services Inc. Kent has been in the financial services industry since 2003. Kent has held various positions at Globalink Securities, Inc., Banc of America Investment Services, Inc., and Dean Witter Reynolds Inc.. Kent is registered with the state of California to provide both investment advisory and broker-dealer services. Kent is a member of the Financial Industry Regulatory Authority (FINRA) and holds Series 63, 66, 7, and SIE licenses. Kent's professional specializations include investments, trading, and financial planning.
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
08/21/2014 - Present
UBS Financial Services Inc. (Pasadena CA)
CA
08/13/2009 - 05/01/2012
GLOBALINK SECURITIES, INC. (ARCADIA CA)
CA
02/08/2001 - 09/10/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
MA
07/12/1999 - 04/06/2000
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
05/18/1999 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
NY
03/20/1999 - 04/27/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
10/27/1998 - 01/06/1999
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
BOTH
Issued 08/21/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/16/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/1998
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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