Yupan Wen

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2015-11-25

CA RA
APPROVED

Since 2015-11-25

Branch Locations

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

305 Lytton Avenue, Palo Alto, CA 94301 • 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
Ubs Financial Services Inc	San Francisco	CA	11/2015	Present

11/2015 → Present

Ubs Financial Services Inc

San Francisco, CA

Previous Registrations

2004-08-10 → 2015-12-01

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Jose, CA

New York, NY

San Jose, CA

San Francisco, CA

San Jose, CA

San Francisco, CA

San Francisco, CA
2004-01-06 → 2004-07-22

Morgan Stanley Dw Inc.

San Jose, CA

Other Businesses

ANDREW WEN 2019 TRUST, Holding assets/15481 Peach Hill Road, Saratoga, California, United States, 95070/ Asset management including investment and distribution/No/ 2/8/2019

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-11-21

S66 Uniform Combined State Law Examination

2003-11-21

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews