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Detailed Report
CYNTHIA TUNG
CRD#: 4261275
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
Pasadena, CA 91101
Registration History
200620082010201220142016201820202022202420262 FIRMS2015 - Present (9 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2006 - 2015 (9 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - 2015 (8 years)
License(s)

State Registrations

B
California 11/2/2015
B
New Jersey 9/3/2020
IA
California 11/2/2015
B
New York 1/31/2019
B
Delaware 7/14/2023
B
Oregon 3/12/2020
B
Florida 7/26/2021
B
Pennsylvania 10/16/2019
B
Hawaii 12/16/2019
B
Texas 11/2/2015
B
Illinois 8/28/2019
IA
Texas 11/2/2015
B
Massachusetts 4/27/2016
B
West Virginia 6/18/2021
B
Nevada 8/6/2019
B
Wyoming 2/22/2021

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
Rowland Heights, CA
Registered with this firm since 11/2/2015
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, Pasadena, CA 91101
Rowland Heights, CA
Registered with this firm since 11/2/2015
Previous Registration(s)
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IA
 07/23/2007 - 11/03/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BREA, CA
B
 08/11/2006 - 11/03/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BREA, CA
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.