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Hsin-Yen Sunny Neilon

Ubs Financial Services Inc.

San Francisco, CA

Brea, CA

Irvine, CA

CRD 2622330

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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
CA RA APPROVED 2015-11-02
  • CA RA
    APPROVED
    Since 2015-11-02

Branch Locations

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

135 S. State College Blvd Suite 650, Brea, CA 92821 • United States

Irvine, 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. San Francisco CA 11/2015 Present
Previous Registrations
Other Businesses

Rental Unit,United States,Sole proprietorship,Real Estate,Rental Unit,I rent a property that is not my primary residence,Start date 9/20/2025

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-10-10
S63 Uniform Securities Agent State Law Examination 1998-02-12
  • S65 Uniform Investment Adviser Law Examination
    2000-10-10
  • S63 Uniform Securities Agent State Law Examination
    1998-02-12
Other Names
  • Hsin-Yen Sunny Neilon
  • Hsin-Yen Kuo
  • Sunny Kuo
  • Hsinyen Sunny Neilon

View on SEC IAPD

Nearby Firms

FORT POINT CAPITAL PARTNERS LLC
DIVISAR CAPITAL MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.

Nearby Investors

TIMOTHY TODD MCDOWELL
JOHN HUGH MCDEVITT
JOSEPH WADE PITTS

Nearby Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA

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