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Eric Matthew Yen

Ubs Financial Services Inc.

Carmel, CA

San Francisco, 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_RES 2022-01-03
CA RA APPROVED 2019-11-21
  • TX RA
    APPROVED_RES
    Since 2022-01-03
  • CA RA
    APPROVED
    Since 2019-11-21

Branch Locations

200 Clock Tower Place Suite C-100, Carmel, CA 93923 • United States

San Francisco, CA • 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
Ubs Financial Services Inc. San Francisco CA 02/2018 Present
Cfo Rick San Francisco CA 05/2015 01/2018
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-21
  • S66 Uniform Combined State Law Examination
    2019-11-21

View on SEC IAPD

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