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Helen Callista Yi Shue

Ubs Financial Services Inc.

Pasadena, CA

Temple City, 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 2018-07-02
  • CA RA
    APPROVED
    Since 2018-07-02

Branch Locations

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

Temple City, CA • 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
Hsbc Bank Usa Na Arcadia CA 08/2016 06/2018
Ubs Financial Services Pasadena CA 06/2018 Present
  • 08/2016 → 06/2018
    Hsbc Bank Usa Na
    Arcadia, CA
  • 06/2018 → Present
    Ubs Financial Services
    Pasadena, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-13
  • S66 Uniform Combined State Law Examination
    2009-11-13
Other Names
  • Yi Xu
  • Helen Callista Yi Shue
  • Helen Shue

View on SEC IAPD

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