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Nicole Chen

Ubs Financial Services Inc.

Pasadena, CA

CRD 7922317

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2025-09-15
  • CA RA
    APPROVED
    Since 2025-09-15

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
Vivian Webb School Claremont CA 08/2017 06/2021
Yew Chung International School Shanghai 08/2008 07/2017
Northeastern University Boston MA 07/2021 05/2025
Ubs Financial Services Inc. Pasadena CA 06/2024 08/2024
Ice Cobotics Hong Kong 07/2023 12/2023
Ubs Financial Services Inc Pasadena CA 06/2025 Present
  • 08/2017 → 06/2021
    Vivian Webb School
    Claremont, CA
  • 08/2008 → 07/2017
    Yew Chung International School
    Shanghai
  • 07/2021 → 05/2025
    Northeastern University
    Boston, MA
  • 06/2024 → 08/2024
    Ubs Financial Services Inc.
    Pasadena, CA
  • 07/2023 → 12/2023
    Ice Cobotics
    Hong Kong
  • 06/2025 → Present
    Ubs Financial Services Inc
    Pasadena, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-09-13
  • S66 Uniform Combined State Law Examination
    2025-09-13
Other Names
  • Nicole Tin Yan Chen

View on SEC IAPD

Nearby Firms

CMR CAPITAL MANAGEMENT, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STRATEGY ASSET MANAGERS L.L.C.

Nearby Investors

CHRISTOPHER LEU
JAY EDWIN LOMETILLO
Salvador Rodriguez

Nearby Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA

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