Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yiqiao? Claim Your ProfileYiqiao Mao is an active Broker-Dealer and Investment Advisor Representative with UBS Financial Services Inc. Yiqiao has been in the industry since 2009 and has extensive experience in the financial services industry. Previously, Yiqiao held roles at CREDIT SUISSE SECURITIES (USA) LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, METLIFE SECURITIES INC., and METROPOLITAN LIFE INSURANCE COMPANY. Yiqiao holds a variety of licenses including Series 7, 63, 66, 24, 79TO and SIE. Yiqiao currently works out of the Weehawken, NJ branch office of UBS Financial Services Inc.
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
NJ
01/22/2024 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
04/12/2010 - 12/19/2023
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NJ
11/23/2009 - 04/16/2010
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
01/29/2005 - 05/19/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/20/2004 - 08/26/2004
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEW YORK NY)
MA
04/20/2004 - 08/13/2004
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
04/20/2004 - 08/13/2004
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BC
Issued 06/24/2010
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 02/18/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/23/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2009
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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