Angela Wen

Ubs Financial Services Inc.

CRD 5856511

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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

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-26
NJ	RA	APPROVED	2019-11-06

NY RA
APPROVED

Since 2021-10-26
NJ RA
APPROVED

Since 2019-11-06

Branch Locations

Roslyn, NY • United States

1285 Avenue Of The Americas 19Th Floor, New York, NY 10019 • 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

Organization	City	State	From	To
Hsbc Bank Usa N.A.	New York	NY	12/2014	05/2017
Hsbc Securities (Usa) Inc.	New York	NY	12/2014	05/2017
Ubs Financial Services Inc	New York	NY	06/2017	Present

12/2014 → 05/2017

Hsbc Bank Usa N.A.

New York, NY
12/2014 → 05/2017

Hsbc Securities (Usa) Inc.

New York, NY
06/2017 → Present

Ubs Financial Services Inc

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-08-21
S63	Uniform Securities Agent State Law Examination	2011-06-16

S65 Uniform Investment Adviser Law Examination

2017-08-21
S63 Uniform Securities Agent State Law Examination

2011-06-16

Other Names

Angela Wen
Jieshan Wen
Angela Jieshan Wen

View on SEC IAPD

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