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Peng Paul Hao

UBS Securities LLC

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About Peng Paul Hao

Peng Paul Hao is a securities professional with over four years of experience in the financial industry. Peng is currently registered with UBS Securities LLC and has a Series 7, Series 16, Series 63, Series 87, and SIE license. Peng was previously registered with Wedbush Securities Inc. Peng is licensed to offer securities in all 50 states, the District of Columbia and Puerto Rico. Peng has a strong track record of providing exceptional service to clients.

Firm Information

Peng Hao 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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Peng Hao’s Registration & Firm History

MN

09/19/2022 - Present

UBS Securities LLC (Minneapolis MN)

CA

08/13/2018 - 09/19/2022

WEDBUSH SECURITIES INC. (LOS ANGELES CA)

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Licenses & Designations

BC

Issued 10/15/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 11/12/2018

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/13/2018

Series 7 - General Securities 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 Peng Paul Hao.
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