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Detailed Report
DANNY KOH
CRD#: 7238778
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 20 PACIFICA
IRVINE, CA 92618
Registration History
20202021202220232024202520262 FIRMS2021 - 2022 (<1 year)2 FIRMS2022 - 2023 (1 year)2 FIRMS2023 - Present (1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2020 - 2021 (<1 year)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2021 - 2021 (<1 year)
License(s)

State Registrations

B
Alabama 9/14/2023
B
Missouri 9/14/2023
B
Arizona 9/14/2023
B
Nevada 9/14/2023
B
California 7/19/2023
B
New Jersey 9/14/2023
IA
California 7/20/2023
B
New Mexico 9/14/2023
B
Colorado 9/14/2023
B
New York 9/14/2023
B
Connecticut 9/14/2023
B
North Carolina 9/14/2023
B
Florida 9/14/2023
B
Oklahoma 9/14/2023
B
Hawaii 9/14/2023
B
Oregon 9/14/2023
B
Idaho 9/14/2023
B
Pennsylvania 9/14/2023
B
Illinois 9/14/2023
B
Texas 9/14/2023
B
Indiana 9/14/2023
B
Utah 9/14/2023
B
Kansas 9/14/2023
B
Vermont 9/14/2023
B
Maryland 9/14/2023
B
Virginia 9/14/2023
B
Massachusetts 9/14/2023
B
Washington 9/14/2023
B
Michigan 9/14/2023
B
Wisconsin 9/14/2023
B
Minnesota 9/14/2023
B
Wyoming 9/14/2023

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)
20 PACIFICA, IRVINE, CA 92618
Registered with this firm since 7/20/2023
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
20 PACIFICA, IRVINE, CA 92618
Registered with this firm since 7/19/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/01/2022 - 07/10/2023 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. (CRD#:108559) Los Angeles, CA
B
 02/28/2022 - 07/10/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) LOS ANGELES, CA
IA
 08/13/2021 - 03/03/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ANAHEIM, CA
B
 08/13/2021 - 03/03/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) ANAHEIM, CA
IA
 01/30/2021 - 05/26/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) DOWNEY, CA
B
 11/26/2020 - 05/26/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) DOWNEY, 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.