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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2009-10-22
CA RA APPROVED 2009-01-30
  • TX RA
    APPROVED_RES
    Since 2009-10-22
  • CA RA
    APPROVED
    Since 2009-01-30

Branch Locations

251 South Lake Avenue 10Th Floor, Pasadena, CA 91101 • 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. Pasadena CA 01/2009 Present
Previous Registrations
Other Businesses

San Gabriel Country Club; 350 East Hermosa Drive, San Gabriel, CA 91775; Private Golf Club; Sport & Leisure Facilities; Board of director; Member of Board of directors; evaluate the direction of the club and members; Start date: 3/1/2025

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-05-10
S63 Uniform Securities Agent State Law Examination 1997-05-02
  • S65 Uniform Investment Adviser Law Examination
    2000-05-10
  • S63 Uniform Securities Agent State Law Examination
    1997-05-02
Other Names
  • Lee Chen

View on SEC IAPD

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