Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Kun is an Investment Advisor Representative associated with UBS Financial Services Inc. based in Los Angeles, California. William has been in the financial services industry for over 22 years. William is registered in 13 states and holds various industry licenses including Series 3, 7, and 66. William specializes in providing a wide range of financial services including Portfolio management for individuals and businesses, Financial planning, Educational seminars, and Selection of other advisors. William's prior experience includes working at LEHMAN BROTHERS INC. in Los Angeles, California.
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
10/18/2021 - Present
UBS Financial Services Inc. (LOS ANGELES CA)
CA
10/11/2000 - 10/02/2008
LEHMAN BROTHERS INC. (LOS ANGELES CA)
BOTH
Issued 10/19/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/2007
Series 3 - National Commodity Futures Examination
BC
Issued 10/10/2000
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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