CRD #127314 · FINRA BrokerCheck + SEC IAPD

UOB KAY Hian (U.S.) Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, UOB KAY Hian (U.S.) Inc. ranks #19,057 of 20,055 by disclosure count (most disclosures first). UOB KAY Hian (U.S.) Inc. has a clean FINRA BrokerCheck record, no reportable disclosures across its 0 branch offices, earning a Grade A.

Verify on FINRA BrokerCheck → Browse all firms
Grade A
Safety grade
0
branch offices
0
disclosures
#19,057 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 127314 UOB KAY Hian (U.S.) Inc.

UOB KAY Hian (U.S.) Inc. · Grade A · 0 disc · 0.00/office · Single-office firm

  • CRD 127314
  • GRADE A
  • DISC 0
  • REG 0
  • ARB 0
  • CIV 0
  • BRANCH 0
  • PER-OFF n/a
  • RANK #19,057 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: 1-800 NO Loads, Inc. (0.00 disc/office)

1-800 NO Loads, Inc.0.001031 Exchange Place, Inc.0.0010X Securities0.00UOB KAY Hian (U.S.)… (this)0.00
Disclosures per office among single-office firm peers (lower is cleaner)

UOB KAY Hian (U.S.) Inc. ranks #19,057 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 5/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

0 offices

FINRA: Small firm

Total disclosures

0 events

On FINRA BrokerCheck

Regulatory events

0 actions

On FINRA BrokerCheck

Disclosures per office

- per office

footprint not reported

Clean disclosure surface

UOB KAY Hian (U.S.) Inc. has zero reportable FINRA BrokerCheck disclosures in this extract across 0 branch offices (Grade A). Verify on FINRA BrokerCheck ↗

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Mississauga, Ontario, L5L 5K4
Formed
02/10/2003
State of Formation
New York
CRD Number
127314
SEC Number
65981

Clean BrokerCheck surface

UOB KAY Hian (U.S.) Inc.'s clean BrokerCheck surface

UOB KAY Hian (U.S.) Inc. shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 0 branch offices (Grade A).

UOB KAY Hian (U.S.) Inc. shows zero reportable disclosures across 0 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of UOB KAY Hian (U.S.) Inc.'s clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does UOB KAY Hian (U.S.) Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, UOB KAY Hian (U.S.) Inc. ranks #19,057 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of A mean for UOB KAY Hian (U.S.) Inc.?
A grade of A means UOB KAY Hian (U.S.) Inc. has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does UOB KAY Hian (U.S.) Inc. have?
UOB KAY Hian (U.S.) Inc. has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is UOB KAY Hian (U.S.) Inc.?
UOB KAY Hian (U.S.) Inc. operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify UOB KAY Hian (U.S.) Inc.'s disciplinary record?
You can verify UOB KAY Hian (U.S.) Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 127314. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. UOB KAY Hian (U.S.) Inc. currently shows none - that is a clean surface, not a guarantee that future events will not appear.

Read with this firm

  • 1-800 NO Loads, Inc. - 0.00 disclosures/office, nearest single-office firm peer to UOB KAY Hian (U.S.) Inc.'s 0.00
  • 1031 Exchange Place, Inc. - 0.00 disclosures/office, nearest single-office firm peer to UOB KAY Hian (U.S.) Inc.'s 0.00
  • 10X Securities - 0.00 disclosures/office, nearest single-office firm peer to UOB KAY Hian (U.S.) Inc.'s 0.00
  • How to Vet a Financial Advisor - Use UOB KAY Hian (U.S.) Inc.'s clean BrokerCheck surface as the baseline when you compare other firms.
  • Reading BrokerCheck Reports - What a Grade A page like UOB KAY Hian (U.S.) Inc.'s does and does not prove.
  • Clean-Record Firms - Other Grade-A firms ranked by footprint alongside UOB KAY Hian (U.S.) Inc..
  • Compare firms - put UOB KAY Hian (U.S.) Inc. next to peers on grade and footprint.

Read our methodology - clean-record firms: what a Grade A surface does and does not prove.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.