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Detailed Report
DENNIS YIM
(DENNIS) SEONG YIM, DENNIS S D YIM, DENNIS SEONG DU YIM, SEONG D YIM, SEONG YIM…
CRD#: 3197636
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
Pasadena, CA 91101
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2011 (6 years)2 FIRMS2011 - Present (13 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)1999 - 2005 (6 years)
Disclosure(s)
View By:
1/28/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Arkansas 4/4/2025
B
Massachusetts 10/5/2011
B
California 10/4/2011
B
Michigan 11/8/2024
IA
California 10/4/2011
B
Nevada 8/30/2013
B
Georgia 3/21/2025
IA
Nevada 9/11/2023
B
Illinois 10/2/2019
B
New Jersey 10/4/2011
B
Maryland 2/20/2020
B
New York 9/18/2017

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 10/4/2011
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, Pasadena, CA 91101
Registered with this firm since 10/4/2011
Previous Registration(s)
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IA
 06/21/2005 - 10/05/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 06/21/2005 - 10/05/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 03/31/1999 - 06/24/2005 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, 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.