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James Chen

Ubs Financial Services Inc.

San Francisco, CA

New York, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-03-11
  • NY RA
    APPROVED
    Since 2024-03-11

Branch Locations

555 California Street 33Rd Floor, San Francisco, CA 94104 • 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
OrganizationCityStateFromTo
Td Ameritrade Fort Worth TX 04/2017 11/2017
Unemployed Brooklyn NY 08/2016 03/2017
Ubs Financial Services Weehawken NJ 11/2017 07/2021
Jpmorgan Chase Bank Na New York NY 08/2021 06/2023
Ubs Financial Services, Inc New York NY 03/2024 Present
Unemployed Long Island City NY 07/2023 02/2024
  • 04/2017 → 11/2017
    Td Ameritrade
    Fort Worth, TX
  • 08/2016 → 03/2017
    Unemployed
    Brooklyn, NY
  • 11/2017 → 07/2021
    Ubs Financial Services
    Weehawken, NJ
  • 08/2021 → 06/2023
    Jpmorgan Chase Bank Na
    New York, NY
  • 03/2024 → Present
    Ubs Financial Services, Inc
    New York, NY
  • 07/2023 → 02/2024
    Unemployed
    Long Island City, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-12-28
S63 Uniform Securities Agent State Law Examination 2017-05-23
  • S65 Uniform Investment Adviser Law Examination
    2017-12-28
  • S63 Uniform Securities Agent State Law Examination
    2017-05-23

View on SEC IAPD

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Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

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