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Taylor Wan

Ubs Financial Services Inc.

Walnut Creek, 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 2026-05-06
  • CA RA
    APPROVED
    Since 2026-05-06

Branch Locations

1255 Treat Blvd Suite 1000, Walnut Creek, CA 94597 • 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
Charles Schwab & Co., Inc. San Mateo CA 06/2016 07/2019
Charles Schwab Bank San Mateo CA 06/2016 07/2019
Jp Morgan Chase Bank, N.A. Walnut Creek CA 08/2019 06/2022
Jp Morgan Securities, Llc Walnut Creek CA 08/2019 06/2022
Wells Fargo Clearing Services, Llc San Francisco CA 06/2022 04/2026
Ubs Financial Services Inc. Walnut Creek CA 04/2026 Present
Previous Registrations
  • 2022-06-03 → 2026-05-04
    Wells Fargo Clearing Services, Llc
    Pleasanton, CA
    San Francisco, CA
    Walnut Creek, CA
    Pleasanton, CA
    San Francisco, CA
  • 2019-09-03 → 2022-05-31
    J.P. Morgan Securities Llc
    Oakland, CA
    Hayward, CA
    Oakland, CA
    Berkeley, CA
    Castro Valley, CA
    San Lorenzo, CA
    Oakland, CA
    Alameda, CA
    Emeryville, CA
    Oakland, CA
    Hayward, CA
    Pinole, CA
    Alameda, CA
    Oakland, CA
    San Leandro, CA
    Oakland, CA
    Oakland, CA
    Walnut Creek, CA
    Berkeley, CA
    Berkeley, CA
    Hayward, CA
    Richmond, CA
    El Cerrito, CA
    Richmond, CA
    Hercules, CA
    San Leandro, CA
    Oakland, CA
    Berkeley, CA
    Berkeley, CA
    Oakland, CA
    San Leandro, CA
  • 2016-07-26 → 2019-08-05
    Charles Schwab & Co., Inc.
    San Francisco, CA
    San Mateo, CA
    San Francisco, CA
  • 2007-12-07 → 2015-05-29
    Td Ameritrade, Inc.
    Corte Madera, CA
    Westlake, TX
    San Mateo, CA
    Fort Worth, TX
    Fort Worth, TX
  • 2007-12-07 → 2015-05-29
    Td Ameritrade Investment Management, Llc
    Corte Madera, CA
    San Mateo, CA
    Fort Worth, TX
Other Businesses

RENTAL PROPERTY, INVT RELATED, IRVING TX, 100% OWNERSHIP, START DATE 4/11/2012, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER, COLLECT RENT.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-06
S63 Uniform Securities Agent State Law Examination 2007-10-12
  • S66 Uniform Combined State Law Examination
    2007-12-06
  • S63 Uniform Securities Agent State Law Examination
    2007-10-12
Designations
Other Names
  • Xiaohuan Wan

View on SEC IAPD

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Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

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