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TOMA LEE KAY
TOMA LEE KAY MS.
CRD#: 1448930
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Irvine, CA
Registration History
199019952000200520102015202020252 FIRMS2000 - 2007 (6 years)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2018 (9 years)2 FIRMS2019 - 2020 (1 year)2 FIRMS2020 - Present (4 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1990 - 2000 (10 years)
License(s)

State Registrations

B
California 11/18/2020

IA
California 11/18/2020

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Irvine, CA
Registered with this firm since 11/18/2020

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Irvine, CA
Registered with this firm since 11/18/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/01/2019 - 11/19/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) NEWPORT BEACH, CA
B
05/01/2019 - 11/19/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) NEWPORT BEACH, CA
IA
06/01/2009 - 11/29/2018 MORGAN STANLEY (CRD#:149777) NEWPORT BEACH, CA
B
06/01/2009 - 11/29/2018 MORGAN STANLEY (CRD#:149777) NEWPORT BEACH, CA
IA
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEWPORT BEACH, CA
B
04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEWPORT BEACH, CA
IA
09/20/2000 - 04/02/2007 MORGAN STANLEY (CRD#:7556) NEWPORT BEACH, CA
B
06/28/2000 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) NEWPORT BEACH, CA
B
02/13/1990 - 06/26/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.