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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

Tony Chou

Advisor at UBS FINANCIAL SERVICES INC.

Pasadena, CA

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Search this name across graphsid dfx:ria:edb8850a-aada-2a6a-8432-36f291b80c43

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 3, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 3, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S65
First exam: Sep 10, 2019
First registration: May 3, 2010
Dual registered: yes, broker-dealer
IAPD individual key: 5553102

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 30, 2024	n/a	yes	Pasadena, CA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 18, 2016	Jan 11, 2018	no	LOS ANGELES, CA\|SAN DIEGO, CA\|LOS ANGELES, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 10, 2012	Feb 22, 2016	no	PASADENA, CA\|PASADENA, CA\|PASADENA, CA	Previous registration
MORGAN STANLEY	Wirehouse	May 3, 2010	Oct 14, 2011	no	BEVERLY HILLS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	UBS FINANCIAL SERVICES INC.	Jan 11, 2018	Apr 30, 2024	2,301	Firm change after gap	RIA to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	LPL FINANCIAL LLC	Feb 22, 2016	Feb 18, 2016	-4	Firm change	Other
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 14, 2011	Jul 10, 2012	270	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Apr 30, 2024 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Feb 18, 2016 to Jan 11, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 10, 2012 to Feb 22, 2016factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
May 3, 2010 to Oct 14, 2011factForm ADV

Dated events

No dated event names this entity yet.