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XI QIAO
CRD#: 5301154
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 555 CALIFORNIA STREET
SUITE 4650
SAN FRANCISCO, CA 94104
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2015 (4 years)2 FIRMS2015 - Present (9 years)
License(s)

State Registrations

B
California 10/2/2015

B
New Jersey 7/20/2022

IA
California 10/2/2015

B
New York 10/2/2015

B
Florida 3/9/2021

IA
Texas 10/2/2015

B
Massachusetts 10/9/2023

B
Texas 8/21/2023

B
Minnesota 11/3/2021

B
Washington 10/2/2015

B
Nevada 12/14/2021

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)
555 CALIFORNIA STREET SUITE 4650, SAN FRANCISCO, CA 94104
555 CALIFORNIA STREET 32ND FLOOR/ SUITE 3200, SAN FRANCISCO, CA 94104
Registered with this firm since 10/2/2015

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
555 CALIFORNIA STREET SUITE 4650, SAN FRANCISCO, CA 94104
555 CALIFORNIA STREET 32ND FLOOR/ SUITE 3200, SAN FRANCISCO, CA 94104
Registered with this firm since 10/2/2015

Previous Registration(s)
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IA
02/22/2011 - 10/07/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
B
02/18/2011 - 10/07/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN FRANCISCO, CA
IA
06/01/2009 - 02/24/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SAN FRANCISCO, CA
B
06/01/2009 - 02/24/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) SAN FRANCISCO, CA
IA
06/26/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN FRANCISCO, CA
B
05/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) SAN FRANCISCO, CA
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Broker
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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.