Shelley Wong-chassine

UBS ASSET MANAGEMENT (US)

New York, NY 10010

Some features on this profile are disabled

CRD#: 2390641

Professional summary

Shelley Wong-chassine, who also goes by Shelley Carolyn Wong, Shelley Wong, Shelley Carolyn Wong-chassine, is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York.

Shelley is registered as a RR (Registered Representative) and started their career in finance in 1993. Shelley has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Shelley Carolyn Wong | Shelley Wong | Shelley Carolyn Wong-Chassine

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 Shelley Wong-chassine's CRS (Customer Relationship Summary).

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

May 1, 2024 - Present

UBS ASSET MANAGEMENT (US) INC.

Office #1: 11 Madison Avenue, New York, NY 10010

CRD#: 583

New York, NY

Past

February 17, 2020 - May 1, 2024

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

December 7, 2015 - September 3, 2019

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

November 3, 2000 - October 15, 2015

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

September 10, 1993 - September 24, 2002

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

State Registrations and Notice Filings

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

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

New York
(5/1/2024)

Exams

State Security Law Exam

Series 63

Date: 4/26/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/9/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/17/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583 / SEC#: , 8-21901

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1285 Avenue Of The Americas, New York, NY 10019

Mailing Address

1285 Avenue Of The Americas, New York, NY 10019

Phone number

(212) 821-3000

Established

Delaware since 05/05/1977

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
UBS AMERICAS INC.	DIRECT OWNER
BELASCO, MICHAEL SCOTT	PRESIDENT AND CEO	4649742
HORAN, KATHLEEN ELIZABETH	CHIEF FINANCIAL OFFICER - FINOP	5188874
KEMPER, MARK FREDERICK	SECRETARY AND CHIEF LEGAL COUNSEL	4347419
MULLEN, BARRY JOHN	CHIEF COMPLIANCE OFFICER	1814958

Disclosures

Regulatory Event

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Shelley Wong-chassine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shelley Wong-chassine's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREDIT SUISSE SECURITIES (USA) LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/26/1995

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/9/1993

Series 24

Date: 8/17/2005

FINRA

Current Firm

UBS ASSET MANAGEMENT (US) INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

UBS ASSET MANAGEMENT (US) INC.

TRUST BUT VERIFY

Similar Advisors