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1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DE | RA | APPROVED | 2025-04-11 |
| NV | RA | APPROVED | 2025-04-09 |
| CA | RA | APPROVED | 2025-04-07 |
| CO | RA | APPROVED | 2025-04-07 |
| SD | RA | APPROVED | 2025-04-07 |
Branch Locations
251 South Lake Avenue 10Th Floor, Pasadena, CA 91101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Pasadena | CA | 10/2016 | 05/2017 |
| Ubs Financial Services Inc | Downtown Los Angeles | CA | 07/2016 | 10/2016 |
| Ubs Financial Services Inc. | Pasadena | CA | 05/2017 | 07/2021 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 07/2021 | 02/2025 |
| Ubs Financial Services, Inc | Pasadena | CA | 03/2025 | Present |
RENTAL PROPERTY, INVT RELATED, ALHAMBRA, CA, 100% OWNERSHIP WITH SPOUSE, START DATE 2/1/2018, 0 HRS PER MONTH, 0 HRS DURING TRADING, NO DUTIES. RENTAL PROPERTY, INVT RELATED, HUNTSVILLE, AL, 100% OWNERSHIP WITH SPOUSE, START DATE 10/25/2019, 0 HRS PER MONTH, 0 HRS DURING TRADING, NO DUTIES. R&F PARTNERS INC DBA SMASH MY TRASH NORTHWEST ANAHEIM, NOT INVT RELATED, MONTEREY PARK, CA, 100% OWNERSHIP WITH SPOUSE, START DATE 8/1/2020, 3 HRS PER MONTH, 0 HRS DURING TRADING, MOBILE WASTE COMPACTION BUSINESS. 4. Richard and Felicia Chang, Alhambra and Huntsville CA and ALUnited States, Rental Property, Real Estate, My husband and I own 2 rental properties, Proprietor / owner, I have no duties in this role, start date-2/1/2018.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-05 |
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