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Debbie Chen

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
TX RA APPROVED 2021-11-08
CA RA APPROVED 2021-09-24
  • TX RA
    APPROVED
    Since 2021-11-08
  • CA RA
    APPROVED
    Since 2021-09-24

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
Hsbc San Gabriel CA 06/2010 12/2016
Hsbc Securities (Usa) Inc. Beveryly Hills CA 03/2017 Present
Hsbc Bank Usa National Association Beverly Hills CA 12/2016 Present
Ubs Financial Services Inc Pasadena CA 09/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-03-27
S63 Uniform Securities Agent State Law Examination 2017-09-20
  • S66 Uniform Combined State Law Examination
    2021-03-27
  • S63 Uniform Securities Agent State Law Examination
    2017-09-20

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
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