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Yung-shin Alexander Kung

UBS Asset Management (us) Inc.

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About Yung-shin Alexander Kung

Yung-shin Kung is an active broker-dealer with over 20 years of experience in the financial services industry. Yung-shin is currently registered with UBS Asset Management (us) Inc. and has a wide range of experience in the financial markets, including investments, futures, and securities. Yung-shin has held previous positions at Credit Suisse Securities (USA) LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Credit Suisse First Boston LLC, and Credit Suisse Asset Management Securities, Inc. Yung-shin holds multiple FINRA and state licenses, including Series 3, 7, 24, 31, 63, and 65.

Firm Information

Yung-shin Kung is currently registered with UBS Asset Management (us) Inc.. UBS Asset Management (us) Inc. is a corporation formed in May 1977 and is approved in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 1 approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

37

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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Yung-shin Kung’s Registration & Firm History

NY

05/01/2024 - Present

UBS Asset Management (us) Inc. (New York NY)

CA

06/09/2009 - 05/01/2024

CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)

NY

07/14/2006 - 06/08/2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

07/01/2004 - 02/09/2005

CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)

NY

11/22/2002 - 07/07/2004

CREDIT SUISSE ASSET MANAGEMENT SECURITIES, INC. (NEW YORK NY)

NY

10/14/1997 - 05/23/2001

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

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Licenses & Designations

IA

Issued 08/12/2008

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/15/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/14/2011

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/13/2016

Series 3 - National Commodity Futures Examination

BC

Issued 12/05/2008

Series 31 - Futures Managed Funds Examination

BC

Issued 10/13/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Yung-shin Alexander Kung.
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