Warren Cheung, financial advisor Walnut Creek CA
93 score

Warren Cheung

CRD Number: 1971669
Current Firm: Ubs Financial Services Inc.

Warren Cheung (CRD# 1971669) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Walnut Creek, CA and has over 24 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Walnut Creek, CA Mar 2013 - Current 3
Morgan Stanley Smith Barney Menlo Park, CA Apr 2012 - Mar 2013 < 1
Unemployed San Francisco, CA Mar 2011 - Mar 2012 1
Charles Schwab & Company, Inc. San Francisco, CA Jun 1989 - Feb 2011 21
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1992
S66 NASAA Uniform Combined State Law Examination Jan 2002
Contact Info for Warren Cheung
Phone Number: 201-352-3000
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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