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Nicole 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
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

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Other Investors

CHRISTOPHER LEU
JAY EDWIN LOMETILLO
Salvador Rodriguez
Angel Kam Fung Chen
Jaymie BRIAN Wetzel
ALISA JANE CHANPONG
HEIDI PUI WA LEU
Mui Fan CHAN Graca

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
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

More in Pasadena, CA

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