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Detailed Report
KENT SAI LEUNG
KENT S LEUNG, SAI-LIM LEUNG
CRD#: 3130069
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
Pasadena, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 1999 (<1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2014 - Present (10 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2013 - Present (11 years)BGLOBALINK SECURITIES, INC. (CRD# 29721)2009 - 2012 (2 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2001 - 2007 (6 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)1999 - 2000 (<1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)1998 - 1999 (<1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2003 - 2007 (4 years)
License(s)

State Registrations

B
California 12/4/2013
B
New York 6/30/2014
IA
California 8/21/2014
B
South Dakota 2/12/2018
B
Massachusetts 2/20/2014

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

View Exams Passed by the individual in the detailed report

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)
251 South Lake Avenue 10th Floor, Pasadena, CA 91101
Registered with this firm since 8/21/2014
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, Pasadena, CA 91101
Registered with this firm since 12/4/2013
Previous Registration(s)
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B
 08/13/2009 - 05/01/2012 GLOBALINK SECURITIES, INC. (CRD#:29721) ARCADIA, CA
IA
 01/02/2003 - 09/10/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LOS ANGELES, CA
B
 02/08/2001 - 09/10/2007 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LOS ANGELES, CA
B
 07/12/1999 - 04/06/2000 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
B
 05/18/1999 - 07/12/1999 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
B
 03/20/1999 - 04/27/1999 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 10/27/1998 - 01/06/1999 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.