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YAN YE
CRD#: 5554170
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
Pasadena, CA 91101
10th Floor
Pasadena, CA 91101
0
Disclosures
15
Years of Experience
View By:
State Registrations
B
Arizona 9/20/2016
B
Nevada 8/5/2019
B
California 9/15/2016
B
New York 9/20/2016
IA
California 9/15/2016
B
North Carolina 9/20/2016
B
Connecticut 2/23/2018
B
Ohio 7/14/2017
B
Delaware 7/14/2023
B
Oregon 3/12/2020
B
Florida 7/26/2021
B
Pennsylvania 8/12/2020
B
Hawaii 12/16/2019
B
Texas 8/12/2024
B
Illinois 8/28/2019
B
Washington 9/20/2016
B
Massachusetts 9/20/2016
B
West Virginia 6/18/2021
SRO Registrations
B
B
B
B
B
B
B
B
B
B
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IA
Registered with this firm since 9/15/2016
B
Registered with this firm since 9/15/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/14/2011 - 08/31/2016 | HACIENDA HEIGHTS, CA | |
B | 03/14/2011 - 08/31/2016 | HACIENDA HEIGHTS, CA | |
IA | 04/27/2009 - 09/01/2010 | NEWPORT BEACH, CA | |
B | 01/14/2009 - 09/01/2010 | NEW YORK, NY |
HACIENDA HEIGHTS, CA
03/14/2011 - 08/31/2016
HACIENDA HEIGHTS, CA
03/14/2011 - 08/31/2016
NEWPORT BEACH, CA
04/27/2009 - 09/01/2010
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.