Ellen Jean Wu

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2023-11-08
NY	RA	APPROVED	2021-10-26

NJ RA
APPROVED

Since 2023-11-08
NY RA
APPROVED

Since 2021-10-26

Branch Locations

1285 Avenue Of The Americas Floor 15 Thru 18, New York, NY 10019 • United States

Fair Lawn, NJ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Glen Rauch Securities, Inc.	New York	NY	04/1990	Present

04/1990 → Present

Glen Rauch Securities, Inc.

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-11-22
S63	Uniform Securities Agent State Law Examination	1988-10-05

S66 Uniform Combined State Law Examination

2016-11-22
S63 Uniform Securities Agent State Law Examination

1988-10-05

View on SEC IAPD

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