Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sang? Claim Your ProfileSang Oh is a financial advisor with UBS Financial Services Inc., with over 15 years of experience in the financial services industry. Sang Oh is registered to provide investment advice and brokerage services in New Jersey and New York. Previously, Sang Oh was registered with Auerbach Grayson & Company LLC, KCG Americas LLC, Knight Capital Americas, L.P., and Kim Eng Securities U.S.A. Inc. Sang Oh has passed a number of industry exams, including the Series 66, Series 63, Series 24, Series 3, Series 57TO, SIE, Series 55, and Series 7.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (New York NY)
NY
03/07/2017 - 02/04/2019
AUERBACH GRAYSON & COMPANY LLC (NEW YORK NY)
NJ
04/21/2010 - 12/13/2016
KCG AMERICAS LLC (JERSEY CITY NJ)
NJ
06/09/2008 - 07/02/2012
KNIGHT CAPITAL AMERICAS, L.P. (JERSEY CITY NJ)
NY
10/08/2007 - 06/02/2008
KIM ENG SECURITIES U.S.A. INC. (NEW YORK NY)
BOTH
Issued 02/08/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/20/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/10/2011
Series 24 - General Securities Principal Examination
BC
Issued 11/01/2023
Series 3 - National Commodity Futures Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/2010
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/06/2007
Series 7 - General Securities Representative Examination
Active
Inactive
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
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