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Yijia Guan

Ubs Financial Services Inc.

Pasadena, 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 2023-02-07
  • CA RA
    APPROVED
    Since 2023-02-07

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
Hsbc Bank Usa, N.A. San Gabriel CA 09/2015 03/2021
Hsbc Securities (Usa) Inc San Gabriel CA 10/2015 03/2021
Wells Fargo Clearing Services, Llc South Pasadena CA 03/2021 01/2023
Wells Fargo Bank, N.A. South Pasadena CA 03/2021 01/2023
Ubs Financial Services Inc Pasadena CA 01/2023 Present
  • 09/2015 → 03/2021
    Hsbc Bank Usa, N.A.
    San Gabriel, CA
  • 10/2015 → 03/2021
    Hsbc Securities (Usa) Inc
    San Gabriel, CA
  • 03/2021 → 01/2023
    Wells Fargo Clearing Services, Llc
    South Pasadena, CA
  • 03/2021 → 01/2023
    Wells Fargo Bank, N.A.
    South Pasadena, CA
  • 01/2023 → Present
    Ubs Financial Services Inc
    Pasadena, CA
Previous Registrations
Other Businesses

AIG LIFE INSURANCE; INV. RELATED; HOUSTON, TX; TRAIL COMMISSIONS; START DATE 1/2014; 0 HRS PER MONTH; 0 HRS DURING SECURITIES TRADING HOURS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-06-23
S63 Uniform Securities Agent State Law Examination 2015-12-31
  • S66 Uniform Combined State Law Examination
    2021-06-23
  • S63 Uniform Securities Agent State Law Examination
    2015-12-31

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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