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Jing Guo
Sophia Guo
CRD#: 7410903
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 555 CALIFORNIA STREET
SUITE 4650
SAN FRANCISCO, CA 94104
Registration History
2021202220232024202520262 FIRMS2022 - Present (2 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2021 - 2021 (<1 year)
License(s)

State Registrations

B
Arizona 3/30/2022

B
Minnesota 3/30/2022

B
Arkansas 3/30/2022

B
Montana 3/30/2022

B
California 2/17/2022

B
Nevada 3/30/2022

IA
California 3/29/2022

B
New Jersey 3/30/2022

B
Colorado 3/30/2022

B
New York 3/30/2022

B
Connecticut 3/30/2022

B
North Carolina 3/30/2022

B
Delaware 3/30/2022

B
Ohio 3/30/2022

B
Florida 3/30/2022

B
Oklahoma 3/30/2022

B
Georgia 3/30/2022

B
Oregon 3/30/2022

B
Idaho 3/30/2022

B
Pennsylvania 3/30/2022

B
Illinois 3/30/2022

B
Rhode Island 3/30/2022

B
Indiana 3/30/2022

B
Tennessee 3/30/2022

B
Iowa 3/30/2022

B
Texas 3/30/2022

B
Kentucky 3/30/2022

B
Utah 3/30/2022

B
Maryland 3/30/2022

B
Vermont 3/30/2022

B
Massachusetts 3/30/2022

B
Virginia 3/30/2022

B
Michigan 3/30/2022

B
Washington 3/30/2022

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
Novato, CA
Registered with this firm since 3/29/2022

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
555 CALIFORNIA STREET SUITE 4650, SAN FRANCISCO, CA 94104
Novato, CA
Registered with this firm since 2/17/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
B
09/20/2021 - 12/11/2021 J.P. MORGAN SECURITIES LLC (CRD#:79) SAN ANSELMO, CA
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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.