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Echo Mj Chen

Ubs Financial Services Inc.

San Francisco, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2016-03-17
TX RA APPROVED 2016-03-17
  • CA RA
    APPROVED
    Since 2016-03-17
  • TX RA
    APPROVED
    Since 2016-03-17

Branch Locations

555 California Street 33Rd Floor, San Francisco, CA 94104 • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc. San Francisco CA 03/2016 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-02-04
S65 Uniform Investment Adviser Law Examination 1997-01-29
  • S63 Uniform Securities Agent State Law Examination
    1997-02-04
  • S65 Uniform Investment Adviser Law Examination
    1997-01-29
Other Names
  • Mingjiuan Chen
  • Echo M Chen

View on SEC IAPD

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FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

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