Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vivian? Claim Your ProfileVivian Mui is a financial advisor with UBS Financial Services Inc. in San Francisco, CA. Vivian has over 8 years of experience in the financial services industry. Vivian holds a Series 66, Series 3, Series 7, Series 10, and Series 9 licenses and has earned her SIE certification. Prior to joining UBS Financial Services Inc., Vivian worked at Morgan Stanley. Vivian is a registered investment advisor and specializes in providing financial planning, portfolio management, and investment advice for individuals, corporations, and institutions.
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
06/04/2020 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
08/22/2017 - 06/08/2020
MORGAN STANLEY (SAN FRANCISCO CA)
CA
12/06/2016 - 08/08/2017
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
CA
02/12/2013 - 12/12/2016
MORGAN STANLEY (SAN FRANCISCO CA)
BOTH
Issued 09/04/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/08/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/13/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/14/2018
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/2013
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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