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Mao Huan Wang

UBS Securities LLC

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About Mao Huan Wang

Mao Huan Wang is a financial advisor currently registered with UBS Securities LLC. Mao has been in the financial services industry since January 20, 2016. Mao previously worked at CREDIT SUISSE SECURITIES (USA) LLC and KEEFE, BRUYETTE & WOODS, INC. Mao is licensed in New York. Mao has passed the Series 63, 7TO, SIE, and 79 exams.

Firm Information

Mao Wang 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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Mao Wang’s Registration & Firm History

NY

11/20/2023 - Present

UBS Securities LLC (New York NY)

NY

03/18/2022 - 11/20/2023

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

01/01/2016 - 02/25/2022

KEEFE, BRUYETTE & WOODS, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/28/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/30/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/30/2015

Series 79 - Investment Banking Registered 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 Mao Huan Wang.
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