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Detailed Report
WYNNE YU-CHIH I
WYNNE YUCHIH I, YUCHIH I
CRD#: 2483574
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
PASADENA, CA 91101
Registration History
19952000200520102015202020252 FIRMS2001 - 2009 (8 years)2 FIRMS2009 - 2014 (5 years)2 FIRMS2014 - Present (10 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1998 - 2001 (2 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1994 - 1998 (4 years)
License(s)

State Registrations

B
Arizona 3/21/2022
B
Nebraska 3/3/2025
B
California 6/6/2014
B
Nevada 6/6/2014
IA
California 6/9/2014
B
New Jersey 3/21/2022
B
Colorado 3/21/2022
B
New Mexico 3/21/2022
B
Connecticut 11/26/2019
B
New York 6/6/2014
B
District of Columbia 3/21/2022
B
North Carolina 3/21/2022
B
Florida 3/3/2016
B
Oklahoma 1/20/2023
B
Idaho 3/21/2022
B
Oregon 3/21/2022
B
Illinois 4/26/2022
B
Pennsylvania 10/21/2022
B
Indiana 12/11/2024
B
South Carolina 3/30/2020
B
Iowa 1/20/2023
B
South Dakota 6/6/2014
B
Kentucky 3/21/2022
B
Texas 6/6/2014
B
Maryland 6/6/2014
IA
Texas 6/6/2014
B
Massachusetts 3/21/2022
B
Utah 3/21/2022
B
Michigan 3/21/2022
B
Virginia 3/30/2022
B
Minnesota 3/21/2022
B
Washington 8/6/2019
B
Missouri 3/21/2022
B
Wyoming 2/26/2019

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Los Angeles, CA
Registered with this firm since 6/6/2014
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Los Angeles, CA
Registered with this firm since 6/6/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 06/10/2014 MORGAN STANLEY (CRD#:149777) PASADENA, CA
B
 06/01/2009 - 06/10/2014 MORGAN STANLEY (CRD#:149777) PASADENA, CA
IA
 03/23/2001 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PASADENA, CA
B
 03/16/2001 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PASADENA, CA
B
 09/01/1998 - 03/23/2001 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 05/06/1994 - 09/03/1998 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.