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Thompson Hui sern Wong

UBS Securities LLC

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About Thompson Hui sern Wong

Thompson Wong is an active advisor at UBS Securities LLC and UBS Financial Services Inc. Thompson has been in the financial services industry since January 18, 2023. Thompson holds the Series 16 exam which was passed on January 18, 2023.

Firm Information

Thompson Wong 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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Thompson Wong’s Registration & Firm History

NY

01/24/2023 - Present

UBS Securities LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/18/2023

Series 16 - NYSE Supervisory Analyst Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

New York Stock Exchange

Disclosures

There are no public disclosures for Thompson Hui sern Wong.
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