• 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.
Bao-Tran Nguyen Do
Bao-Tran Do, Sera Do
CRD#: 7503852
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 101 East Kennedy Boulevard, Suite 1800
TAMPA, FL 33602
Registration History
2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
Alabama 10/11/2022

B
Montana 10/11/2022

B
Alaska 10/11/2022

B
Nebraska 10/11/2022

B
Arizona 10/11/2022

B
Nevada 10/11/2022

B
Arkansas 10/11/2022

B
New Hampshire 10/11/2022

B
California 10/11/2022

B
New Jersey 10/11/2022

B
Colorado 10/11/2022

B
New Mexico 10/11/2022

B
Connecticut 10/11/2022

B
New York 10/11/2022

B
Delaware 10/11/2022

B
North Carolina 10/11/2022

B
District of Columbia 10/11/2022

B
North Dakota 10/11/2022

B
Florida 7/12/2022

B
Ohio 10/11/2022

IA
Florida 10/6/2022

B
Oklahoma 10/11/2022

B
Georgia 10/11/2022

B
Oregon 10/11/2022

B
Hawaii 10/11/2022

B
Pennsylvania 10/11/2022

B
Idaho 10/11/2022

B
Puerto Rico 10/11/2022

B
Illinois 10/11/2022

B
Rhode Island 10/11/2022

B
Indiana 10/11/2022

B
South Carolina 10/11/2022

B
Iowa 10/11/2022

B
South Dakota 10/11/2022

B
Kansas 10/11/2022

B
Tennessee 10/11/2022

B
Kentucky 10/11/2022

B
Texas 10/11/2022

B
Louisiana 10/11/2022

B
Utah 10/11/2022

B
Maine 10/11/2022

B
Vermont 10/11/2022

B
Maryland 10/11/2022

B
Virgin Islands 10/11/2022

B
Massachusetts 10/11/2022

B
Virginia 10/11/2022

B
Michigan 10/11/2022

B
Washington 10/11/2022

B
Minnesota 10/11/2022

B
West Virginia 10/11/2022

B
Mississippi 10/11/2022

B
Wisconsin 10/11/2022

B
Missouri 10/11/2022

B
Wyoming 10/11/2022

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)
101 East Kennedy Boulevard, Suite 1800, TAMPA, FL 33602
Registered with this firm since 10/6/2022

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
101 East Kennedy Boulevard, Suite 1800, TAMPA, FL 33602
Registered with this firm since 7/12/2022

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.