DR
David J. Ryou
UBS ASSET MANAGEMENT (US)
Chicago, IL 60606
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CRD#: 6485559
DR
Professional summary
David J Ryou, who also goes by David J Ryou, David Joon Ryou, is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in Chicago, Illinois.
David is registered as a RR (Registered Representative) and started their career in finance in 2015. David has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David J Ryou | David Joon Ryou
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.
CRS (Client Relationship Summary) - BD
Click below to view David J Ryou'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®
NoneExperience
Current
June 2, 2023 - Present
UBS ASSET MANAGEMENT (US) INC.
Office #1: One North Wacker Drive, Chicago, IL 60606BD
CRD#: 583
Chicago, IL
Past
May 11, 2018 - September 7, 2022
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
CHICAGO, IL
Past
April 25, 2016 - May 7, 2018
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GENEVA, IL
Past
September 9, 2015 - April 13, 2016
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
INDIANAPOLIS, IN
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
Alabama(6/6/2023)
RR
Alaska(6/6/2023)
RR
Arizona(6/6/2023)
RR
Arkansas(6/6/2023)
RR
California(6/6/2023)
RR
Colorado(6/6/2023)
RR
Connecticut(6/6/2023)
RR
Delaware(6/6/2023)
RR
District of Columbia(6/6/2023)
RR
Florida(6/6/2023)
RR
Georgia(6/6/2023)
RR
Hawaii(6/6/2023)
RR
Idaho(6/6/2023)
RR
Illinois(6/2/2023)
RR
Indiana(6/6/2023)
RR
Iowa(6/6/2023)
RR
Kansas(6/6/2023)
RR
Kentucky(6/6/2023)
RR
Louisiana(6/6/2023)
RR
Maine(6/6/2023)
RR
Maryland(6/6/2023)
RR
Massachusetts(6/6/2023)
RR
Michigan(6/6/2023)
RR
Minnesota(6/6/2023)
RR
Mississippi(6/6/2023)
RR
Missouri(6/6/2023)
RR
Montana(6/6/2023)
RR
Nebraska(6/6/2023)
RR
Nevada(6/6/2023)
RR
New Hampshire(6/6/2023)
RR
New Jersey(6/6/2023)
RR
New Mexico(6/6/2023)
RR
New York(6/6/2023)
RR
North Carolina(6/6/2023)
RR
North Dakota(6/6/2023)
RR
Ohio(6/6/2023)
RR
Oklahoma(6/6/2023)
RR
Oregon(6/6/2023)
RR
Pennsylvania(6/6/2023)
RR
Puerto Rico(6/6/2023)
RR
Rhode Island(6/6/2023)
RR
South Carolina(6/6/2023)
RR
South Dakota(6/6/2023)
RR
Tennessee(6/6/2023)
RR
Texas(6/6/2023)
RR
Utah(6/6/2023)
RR
Vermont(6/6/2023)
RR
Virginia(6/6/2023)
RR
Washington(6/6/2023)
RR
West Virginia(6/6/2023)
RR
Wisconsin(6/6/2023)
RR
Wyoming(6/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UA
UBS ASSET MANAGEMENT (US) INC.
BRINSON ADVISORS | UBS GLOBAL ASSET MANAGEMENT (US) INC. | UBS GLOBAL ASSET MANAGEMENT | UBS ASSET MANAGEMENT (US) INC. | PAINE WEBBER MITCHELL HUTCHINS INC. | MITCHELL HUTCHINS ASSET MANAGEMENT INC. | BRINSON ADVISORS, INC.
CRD#: 583 / SEC#: , 8-21901
BD
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)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
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.
