Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Pang? Claim Your ProfilePang Houa Lee wong is a registered representative with UBS Financial Services Inc. Pang Houa has been in the financial industry since 2010 and is currently registered with the state of California. Pang Houa's previous experience includes working at J.P. Morgan Securities LLC and Chase Investment Services Corp. Pang Houa holds Series 6, 7, 63 and 66 securities licenses.
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
07/29/2024 - Present
UBS Financial Services Inc. (SACRAMENTO CA)
CA
10/01/2012 - 11/03/2017
J.P. MORGAN SECURITIES LLC (ELK GROVE CA)
CA
04/15/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SACRAMENTO CA)
BOTH
Issued 07/28/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/29/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/10/2024
Series 7TO - General Securities Representative Examination
BC
Issued 02/22/2023
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/2010
Series 6 - Investment Company Products/Variable Contracts 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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