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Liz Zhao

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 2025-06-26
  • CA RA
    APPROVED
    Since 2025-06-26

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
Future Financial Technology Hong Kong 01/2016 10/2016
Aig Houston TX 11/2016 12/2019
Pacific Century Securities, Llc Atlanta GA 12/2019 11/2021
Ubs Financial Services Pasadena CA 11/2021 01/2023
Unemployed Husoton TX 02/2023 10/2023
New York Life Glendale CA 10/2023 04/2025
Nylife Securties Llc Glendale CA 12/2023 04/2025
Eagle Strategies Llc Glendale CA 12/2023 04/2025
Ubs Financial Services Inc. Pasadena CA 06/2025 Present
  • 01/2016 → 10/2016
    Future Financial Technology
    Hong Kong
  • 11/2016 → 12/2019
    Aig
    Houston, TX
  • 12/2019 → 11/2021
    Pacific Century Securities, Llc
    Atlanta, GA
  • 11/2021 → 01/2023
    Ubs Financial Services
    Pasadena, CA
  • 02/2023 → 10/2023
    Unemployed
    Husoton, TX
  • 10/2023 → 04/2025
    New York Life
    Glendale, CA
  • 12/2023 → 04/2025
    Nylife Securties Llc
    Glendale, CA
  • 12/2023 → 04/2025
    Eagle Strategies Llc
    Glendale, CA
  • 06/2025 → Present
    Ubs Financial Services Inc.
    Pasadena, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-29
S63 Uniform Securities Agent State Law Examination 2010-01-31
  • S66 Uniform Combined State Law Examination
    2022-04-29
  • S63 Uniform Securities Agent State Law Examination
    2010-01-31
Other Names
  • Liz Zhao
  • Liz Zhao
  • Li Zhao

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
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
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