Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Koa van? Claim Your ProfileKoa Chung is a financial advisor at UBS Financial Services Inc. Koa is a financial professional with over 25 years of experience in the financial industry. Koa is registered with FINRA and the state of New Jersey. Koa specializes in financial planning, portfolio management, and investment banking. Koa has a wide range of experience in serving clients, including high-net-worth individuals, corporations, and institutions. Prior to joining UBS Financial Services Inc., Koa was a financial advisor at AllianceBernstein Investments, Inc. Koa is also a former financial advisor at Sanford C. Bernstein & Co., LLC, PIMCO Investments LLC, Barclays Capital Inc., ING Investments Distributor, LLC, ING Financial Advisers, LLC, TIAA-CREF Individual & Institutional Services, LLC, Teachers Personal Investors Services, Inc., Citigroup Investment Services, and Waterhouse Securities, Inc. Koa is committed to providing clients with personalized financial advice and guidance to help them achieve 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
NJ
11/18/2019 - Present
UBS Financial Services Inc. (Weehawken NJ)
PR
04/12/2021 - 08/29/2021
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (HATO REY PR)
TN
04/10/2017 - 11/11/2019
ALLIANCEBERNSTEIN INVESTMENTS, INC. (NASHVILLE TN)
NY
04/10/2017 - 11/11/2019
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
10/16/2013 - 04/13/2017
PIMCO INVESTMENTS LLC (NEW YORK NY)
NY
08/22/2012 - 06/07/2013
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
02/18/2010 - 08/20/2012
ING INVESTMENTS DISTRIBUTOR, LLC (NEW YORK NY)
NY
07/05/2011 - 08/05/2011
ING FINANCIAL ADVISERS, LLC (NEW YORK NY)
NY
10/18/2005 - 09/28/2009
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
08/05/2004 - 09/28/2009
ALLIANCEBERNSTEIN INVESTMENTS, INC. (NEW YORK NY)
NY
10/20/2003 - 07/23/2004
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEW YORK NY)
NY
02/28/2002 - 07/23/2004
TEACHERS PERSONAL INVESTORS SERVICES, INC. (NEW YORK NY)
NY
06/20/1997 - 12/14/2000
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NE
10/11/1995 - 05/27/1997
WATERHOUSE SECURITIES, INC. (OMAHA NE)
NY
09/01/1995 - 09/27/1995
I. A. RABINOWITZ & CO. (NEW YORK NY)
BC
Issued 09/14/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/29/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/1995
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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