Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leslie? Claim Your ProfileLeslie Chang is a financial advisor with UBS Financial Services Inc. Leslie has been in the financial services industry since 2004 and is registered with FINRA and the state of Texas. Leslie has experience in providing financial planning and portfolio management services to a wide range of clients, including high-net-worth individuals, families, and businesses. Leslie also has experience in providing investment advisory services to insurance companies, charitable organizations, and pension and profit-sharing plans. Leslie holds the Series 7, Series 10, Series 9, Series 3, and Series 66 securities licenses, as well as the Certified Financial Planner designation.
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
07/03/2023 - Present
UBS Financial Services Inc. (BREA CA)
CA
06/01/2009 - 10/05/2012
MORGAN STANLEY SMITH BARNEY (PASADENA CA)
CA
11/19/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PASADENA CA)
CA
11/14/2005 - 09/14/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
NY
06/08/2004 - 09/02/2004
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
01/18/2001 - 07/07/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 12/19/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/24/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/23/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/2009
Series 3 - National Commodity Futures Examination
BC
Issued 01/17/2001
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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