Fred Sung is a CFA-designated registered investment advisor, based in New York, NY, with 19 years of industry experience.
Location
11 Madison Avenue, New York, NY, 10010
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Current Registrations
UBS Securities LLCBroker
November 2020 - Present · 5 yrs 8 mos
UBS Financial Services INC.
June 2013 - Present · 13 yrs 1 mo
UBS Financial Services INC.Broker
May 2013 - Present · 13 yrs 2 mos
Previous Registrations
UBS Securities LLCBroker
June 2013 - November 2014 · 1 yr 5 mos
Credit Suisse Asset Management Securities, INC.Broker
January 2001 - May 2004 · 3 yrs 4 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
February 1998 - January 2001 · 2 yrs 11 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.