Dennis Yim

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2016 → Present
  Ubs Financial Services Inc.
  Pasadena, CA

Previous Registrations

• 2005-06-21 → 2011-10-05
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pasadena, CA
  Pasadena, CA
  Pasadena, CA
  Pasadena, CA

Other Businesses

OKTA S.C. / 4801 WILSHIRE BLVD. #104C LOS ANGELES CA 90010 / ASSOCIATION (I.E., TRADE OR INDUSTRY, SPORT...) / SERVICES (BUSINESS, PROFESSIONAL, SUPPORT) / TRADE ASSOCIATION / MEMBER OF BOARD OF DIRECTORS / QUARTERLY BOARD MEETINGS / START DATE 01/01/2009.

Exams

• S66 Uniform Combined State Law Examination
  2005-10-12
• S65 Uniform Investment Adviser Law Examination
  2001-10-12
• S63 Uniform Securities Agent State Law Examination
  1999-08-31

Other Names

• Seong Yim
• Dennis S D Yim
• (Dennis) Seong Yim
• Seong D Yim
• Seong Du Yim
• Dennis Seong Du Yim