• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Pang Houa Lee Wong
PANG H LEE, Pang Houa LeeWong, Alissa Wong
CRD#: 5747608
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1610 ARDEN WAY
SACRAMENTO, CA 95815
Registration History
2010201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2017 (5 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2010 - 2012 (2 years)
License(s)

State Registrations

B
Arizona 11/24/2024

B
Montana 11/24/2024

B
California 7/29/2024

B
Nevada 11/24/2024

IA
California 7/29/2024

B
Oregon 11/24/2024

B
Florida 11/24/2024

B
Texas 11/24/2024

B
Idaho 11/24/2024

B
Utah 11/24/2024

B
Maine 11/24/2024

B
Washington 11/24/2024

B
Michigan 11/24/2024

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)
1610 ARDEN WAY, SACRAMENTO, CA 95815
Registered with this firm since 7/29/2024

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1610 ARDEN WAY, SACRAMENTO, CA 95815
Registered with this firm since 3/11/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
B
10/01/2012 - 11/03/2017 J.P. MORGAN SECURITIES LLC (CRD#:79) ELK GROVE, CA
B
04/15/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SACRAMENTO, CA
For additional information about investment advisers or broker-dealers, please visit
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.