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Richard Chen

Ubs Financial Services Inc.

Pasadena, CA

Alhambra, 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 2016-09-15
  • CA RA
    APPROVED
    Since 2016-09-15

Branch Locations

251 South Lake Avenue 10Th Floor, Pasadena, CA 91101 • United States

Alhambra, CA • 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 08/2016 Present
Previous Registrations
  • 2015-08-17 → 2016-08-01
    Cetera Investment Advisers Llc
    Pasadena, CA
  • 2013-06-12 → 2015-09-08
    Citigroup Global Markets Inc.
    San Antonio, TX
    Glendale, CA
    San Francisco, CA
    La Canada-Flintridge, CA
    Fountain Valley, CA
    Glendale, CA
    San Jose, CA
    La Canada Flintridge, CA
  • 2012-11-09 → 2013-06-20
    Waddell & Reed
    Pasadena, CA
    Las Vegas, NV
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-11-08
  • S66 Uniform Combined State Law Examination
    2012-11-08

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

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