Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tony? Claim Your ProfileTony Chou is an investment advisor representative registered with UBS Financial Services Inc. Tony has been in the financial services industry for over 12 years. Tony has a strong track record of success and is committed to providing clients with personalized financial advice. Tony has a Series 7, 66, and 65 licenses, as well as the SIE exam. Tony also holds a Bachelor of Science in Business Administration from the University of Southern California. In addition to Tony's experience in the financial services industry, Tony has a passion for coaching and community service. Tony is a varsity volleyball coach for the San Marino Unified School District and is also a member of the San Marino City Council. Tony is committed to helping clients achieve their financial goals and to making a positive impact in the community. Tony is a valuable asset to UBS Financial Services Inc. and is a trusted advisor to many clients.
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
06/17/2024 - Present
UBS Financial Services Inc. (Pasadena CA)
CA
02/18/2016 - 01/11/2018
LPL FINANCIAL LLC (LOS ANGELES CA)
CA
07/10/2012 - 02/22/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PASADENA CA)
CA
03/31/2010 - 10/14/2011
MORGAN STANLEY SMITH BARNEY (BEVERLY HILLS CA)
BOTH
Issued 09/05/2023
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/10/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/30/2024
Series 7TO - General Securities Representative Examination
BC
Issued 09/20/2023
SIE - Securities Industry Essentials Examination
BC
Issued 03/30/2010
Series 7 - General Securities 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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