Yung-shin A. Kung

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CRD#: 2934822

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Yung-shin Alexander Kung, who also goes by Yung-shin Kung, Yungshin Alexander Kung, was a registered financial professional .

Yung-shin is a previously registered financial professional and started their career in finance in 1997. Yung-shin had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Yung-Shin Kung | Yungshin Alexander Kung

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.

1.the name of the other business- Rutgers Center for Innovation Education 2.whether the business is investment related- No 3.the address of the other business- 35 Berrue Circle, Piscataway, NJ 08854 4.the nature of the other business- Rutgers, the State University of New Jersey, is a leading national research university and the state of New Jersey's preeminent, comprehensive public institution of higher education 5.your position, title, or relationship with other business- Advisory Board Member 6.the start date of your relationship- January 7, 2019 7.the approximate number of hours/month you devote to the other business- 1 hours 8.the number of hours you devote to the other business during securities trading hours- 0 hours 9.brief description of your duties relating to other business- 1. Preserving and enhancing the reputation and quality of the School through strategic review of our credit and noncredit offerings to the community, as well as helping to build our value to the business community; 2. Offering the benefits of your experience to our faculty and students through occasional classroom visits, forums and conferences, input on our programs; and 3. Promoting the School's goal of linking industry with academia to help ensure our work is relevant and benefits the business community.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 1, 2024 - December 17, 2024

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

New York, NY

Past

June 9, 2009 - March 29, 2024

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

SAN FRANCISCO, CA

Past

June 9, 2009 - May 1, 2024

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

SAN FRANCISCO, CA

Past

August 15, 2008 - June 8, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

July 14, 2006 - June 8, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 1, 2004 - February 9, 2005

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

November 22, 2002 - July 7, 2004

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

CRD#: 15654

NEW YORK, NY

Past

October 14, 1997 - May 23, 2001

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/12/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/13/2016

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 12/5/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/13/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/14/2011

General Securities Principal Examination

Current Firm

UBS ASSET MANAGEMENT (US) INC.

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

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

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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.

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Yung-shin A. Kung

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/12/2008

Series 63

Date: 10/15/1997

SIE

Date: 10/1/2018

Series 3

Date: 12/13/2016

Series 31

Date: 12/5/2008

Series 7

Date: 10/13/1997

Series 24

Date: 3/14/2011

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

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