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AK

Athena M. Kwai

UOB KAY HIAN (U.S.)
Maplewood, NJ 07040
Some features on this profile are disabled
CRD#: 1556536
AK

Professional summary


Athena Manha Kwai, who also goes by Athena Man Ha Kwai, is a registered financial professional currently at UOB KAY HIAN (U.S.) INC. located in Maplewood, New Jersey.

Athena is registered as a RR (Registered Representative) and started their career in finance in 1992. Athena has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 24 and Series 8 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Athena Man Ha Kwai

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Athena Manha Kwai's CRS (Customer Relationship Summary).

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

November 19, 2003 - Present

UOB KAY HIAN (U.S.) INC.

Office #1: 111 Dunnell Road, Ste 201, Maplewood, NJ 07040
BD
CRD#: 127314
Maplewood, NJ
Past

August 18, 1998 - October 20, 1998

WORLDSEC INTERNATIONAL SECURITIES INC.

BD
CRD#: 36328
NEW YORK, NY
Past

April 10, 1997 - May 21, 1998

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

February 4, 1997 - April 3, 1997

BNP PARIBAS BROKERAGE SERVICES, INC.

BD
CRD#: 31394
KING OF PRUSSIA, PA
Past

August 21, 1996 - March 7, 1997

PRIMEEAST SECURITIES INC.

BD
CRD#: 39839
Past

November 29, 1994 - February 21, 1996

WORLDSEC INTERNATIONAL SECURITIES INC.

BD
CRD#: 36328
NEW YORK, NY
Past

June 18, 1992 - October 27, 1994

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(9/30/2014)
RR
New York
(11/20/2003)

Exams


State Security Law Exam
RR
Series 63
Date: 8/7/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/9/1997
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm


UK
UOB KAY HIAN (U.S.) INC.
UOB KAY HIAN (U.S.) INC. | UOB KAY HIAN (U.S.) INC.

CRD#: 127314 / SEC#: , 8-65981

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information


Main Address
3207 Dovetail Mews, Mississauga, Ontario, L5L 5K4
Mailing Address
3207 Dovetail Mews, Mississauga, Ontario, L5L 5K4
Phone number
(416) 454-1033
Established
New York since 02/10/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Direct owners and executive officers


NamePositionCRD#
UOB-KAY HIAN HOLDINGS LIMITEDSHAREHOLDER
KWAI, ATHENA MANHACO - CHIEF COMPLIANCE OFFICER1556536
KWAI, ATHENA MANHAPRESIDENT, DIRECTOR, SECRETARY, TREASURER1556536
LIM, SENG BEEBOARD MEMBER5275817
POSKITT, MARTIN SPENCERCO- CHIEF COMPLIANCE OFFICER4925926
TAO, BING QINFINOP/PFO/POO6253793

Red Flags


Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information


UOB KAY HIAN (U.S.) INC.

CRD#: 127314Maplewood, NJ 07040

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