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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 2020-12-07
CA RA APPROVED 2010-01-01
  • TX RA
    APPROVED_RES
    Since 2020-12-07
  • CA RA
    APPROVED
    Since 2010-01-01

Branch Locations

555 California Street 33Rd Floor, San Francisco, CA 94104 • United States

San Bruno, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Ag San Francisco CA 03/2001 Present
Ubs International Inc. San Francisco CA 07/2003 Present
Ubs Financial Services Inc. Weehawken NJ 01/2010 Present
  • 03/2001 → Present
    Ubs Ag
    San Francisco, CA
  • 07/2003 → Present
    Ubs International Inc.
    San Francisco, CA
  • 01/2010 → Present
    Weehawken, NJ
Previous Registrations
  • 2005-10-19 → 2010-01-01
    Ubs International Inc.
    New York, NY
    San Francisco, CA
Other Businesses

Pauline Chu / 3667 Gilbert CourtSouth San FranciscoCAUnited States94080 / Sole proprietorship / rental property / I am the owner of a rental property / Start Date: 4/1/2022 2) Name of Business; Hong Kong Association of Northern California./ Address: 130 Montgomery St #5FSan Francisco CAUnited States 94104./ Investment Related: No./ Nature: non-profit, tax exempt organization for business professionals in Northern California for networking purposes./ Role: Member of Board of directors./ Duty: contribute to the events organized by HKANC./ Start Date: 1/1/2024./ Time Required: NO. 3) Pauline Chu, Osaka Japan, Sole proprietorship, Real Estate, rental property, Proprietor / owner, owner of the rental properties, start date-5/1/2025.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-10
  • S66 Uniform Combined State Law Examination
    2005-10-10
Other Names
  • Pui Yuen Chu
  • Pauline Chu

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