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Detailed Report
DINGYUR CHEN
DING YUR CHEN, ROSE CHEN
CRD#: 3039314
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
Pasadena, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2010 - Present (14 years)BLPL FINANCIAL CORPORATION (CRD# 6413)2009 - 2010 (1 year)BUCB INVESTMENT SERVICES, INC. (CRD# 125574)2007 - 2009 (1 year)BGLB TRADING, INC (CRD# 125363)2006 - 2007 (<1 year)BSINOPAC FINANCIAL SERVICES (US... (CRD# 106464)2005 - 2006 (<1 year)BCOMPUTER CLEARING SERVICES INC (CRD# 20776)2000 - 2005 (5 years)BWHITE PACIFIC SECURITIES, INC. (CRD# 42505)2000 - 2000 (<1 year)BTHOMAS GREEN SECURITIES, INC. (CRD# 571)1998 - 1999 (<1 year)IAUCB ASSET MANAGEMENT, INC. (CRD# 141000)2008 - 2009 (<1 year)
License(s)

State Registrations

B
California 8/12/2010
B
Nevada 1/30/2019
IA
California 8/12/2010
B
New Jersey 10/22/2018
B
Delaware 12/12/2017
B
New York 11/13/2023
B
Florida 1/6/2017
B
Ohio 11/13/2023
B
Hawaii 11/13/2023
B
Pennsylvania 1/3/2013
B
Illinois 11/13/2023
B
Texas 10/28/2021
B
Maryland 6/25/2021
B
Utah 11/20/2020
B
Massachusetts 1/3/2013
B
Washington 2/1/2018

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

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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
San Marino, CA
Registered with this firm since 8/12/2010
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, Pasadena, CA 91101
San Marino, CA
Registered with this firm since 8/12/2010
Previous Registration(s)
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B
 02/17/2009 - 02/18/2010 LPL FINANCIAL CORPORATION (CRD#:6413) MONTEREY PARK, CA
IA
 09/03/2008 - 02/18/2009 UCB ASSET MANAGEMENT, INC. (CRD#:141000) SAN FRANCISCO, CA
B
 03/16/2007 - 02/18/2009 UCB INVESTMENT SERVICES, INC. (CRD#:125574) INDUSTRY, CA
B
 04/10/2006 - 03/19/2007 GLB TRADING, INC (CRD#:125363) IRVINE, CA
B
 12/05/2005 - 04/03/2006 SINOPAC FINANCIAL SERVICES (USA) LTD. (CRD#:106464) INDUSTRY, CA
B
 05/09/2000 - 11/16/2005 COMPUTER CLEARING SERVICES INC (CRD#:20776) GLENDALE, CA
B
 06/23/2000 - 11/13/2000 WHITE PACIFIC SECURITIES, INC. (CRD#:42505) SAN FRANCISCO, CA
B
 10/08/1998 - 02/18/1999 THOMAS GREEN SECURITIES, INC. (CRD#:571) LOS ANGELES, CA
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.