Dok
Chua

Ubs Financial Services Inc

CRD#1902468
Investment Advisor
in New York, NY

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About this Advisor

Dok Chua is a financial advisor working in New York, New York, with 10 years of work experience. Chua is on the advisory team at Ubs Financial Services Inc. They have spent the entirety of their career at Ubs Financial Services Inc. Chua has Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and is registered to serve investors in Texas. Ubs Financial Services Inc is an advisory business that has its headquarters in New York, New York. The firm has offices in 369 locations and a total of 15,605 people on staff. It manages $591 billion in assets under management between its 975,301 customer accounts, making it one of the biggest financial advisory firms in the United States by assets under management. The firm serves 5,525 charitable organizations. Of its 975,301 client accounts, 58% are associated with high-net-worth clients who have more than $1 million in assets available to invest. Ubs Financial Services Inc offers a broad range of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters, security rating services and educational seminars. Fees charged by financial advisors largely are based on which services the firm provides the client. Fees charged by Ubs Financial Services Inc likely are comprised of asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

10 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions, Others

Disclosures

Yes

Office Location

1285 Avenue Of The Americas 19Th Floor
New York, NY 10019

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management

$591,360,861,325

NY Average: $10,121,009,343
Total Number of Employees

15,605

NY Average: 92
Total Number of Accounts

975,301

NY Average: 6,978
Average Account Size

$606,337

NY Average: $1,450,417

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops

Dok Chua Work History

Dok has 10 years of experience.

2010 - Present (10 years)

Ubs Financial Services Inc

Disclosures

Dok Chua has disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Ubs Financial Services Inc

Louis Barbuto
New York, NY
Richard Henningsen
Anchorage, AK
Robert Gordon-Brown
New York, NY
Brooke Adam
Lincoln, NE
David Folmnsbee
Dallas, TX
Kent Butler
Sugar Land, TX
Ryan Mcvicker
Charlotte, NC
Yang Chai
Wellesley Hills, MA

This content was compiled from the SEC and FINRA.

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