Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
HSUEH-SHENG SU
HSUEHSHENG SPENCER, HSUEH SHENG SU, HSUEHSHENG SU
CRD#: 2870884
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
Pasadena, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2016 (12 years)2 FIRMS2016 - Present (9 years)BUBOC INVESTMENT SERVICES, INC. (CRD# 14455)1999 - 2004 (5 years)BWMA SECURITIES, INC. (CRD# 32625)1997 - 1999 (1 year)IAUBOC INVESTMENT SERVICES, INC. (CRD# 14455)2003 - 2004 (<1 year)
Disclosure(s)
View By:
11/18/2004
Customer Dispute
Denied
11/21/2003
Customer Dispute
Denied
License(s)

State Registrations

B
California 2/16/2016
B
Nevada 2/12/2025
IA
California 2/17/2016
B
New Jersey 5/12/2023
B
Michigan 10/30/2024
B
Utah 3/27/2023

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
Registered with this firm since 2/17/2016
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, Pasadena, CA 91101
Registered with this firm since 2/16/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/16/2004 - 02/19/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ARCADIA, CA
B
 01/16/2004 - 02/19/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ARCADIA, CA
IA
 03/31/2003 - 02/18/2004 UBOC INVESTMENT SERVICES, INC. (CRD#:14455) LOS ANGELES, CA
B
 01/21/1999 - 02/18/2004 UBOC INVESTMENT SERVICES, INC. (CRD#:14455) GLENDALE, CA
B
 04/21/1997 - 02/09/1999 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
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.