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Liling Chang Lee

Ubs Financial Services Inc.

Irvine, CA

CRD 2490247

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-05-25
CA RA APPROVED 2016-04-08
  • TX RA
    APPROVED_RES
    Since 2026-05-25
  • CA RA
    APPROVED
    Since 2016-04-08

Branch Locations

200 Spectrum Center Drive Suite 1800, Irvine, CA 92618 • 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. San Francisco CA 04/2016 Present
Previous Registrations
Other Businesses

The Lee family Trust / 100 Grazie Irvine,Ca 92602 / No/ Active, Start Date - 9/4/2018

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-04-06
S63 Uniform Securities Agent State Law Examination 1997-07-19
  • S65 Uniform Investment Adviser Law Examination
    2001-04-06
  • S63 Uniform Securities Agent State Law Examination
    1997-07-19
Other Names
  • Liling Lee
  • Liling C Lee

View on SEC IAPD

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