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Detailed Report
HELEN CALLISTA YI SHUE
HELEN SHUE, Helen Callista Yi Shue, YI XU
CRD#: 5604909
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
PASADENA, CA 91101
Registration History
2010201220142016201820202022202420262 FIRMS2009 - 2009 (<1 year)2 FIRMS2010 - 2010 (<1 year)2 FIRMS2010 - 2014 (4 years)2 FIRMS2014 - 2018 (3 years)2 FIRMS2018 - Present (6 years)
Disclosure(s)
View By:
9/7/2018
Customer Dispute
Settled
7/3/2018
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 9/13/2024
B
New Jersey 11/16/2021
B
California 6/21/2018
B
New York 10/21/2021
IA
California 7/2/2018
B
Ohio 6/21/2018
B
Connecticut 8/19/2019
B
Texas 6/21/2018
B
District of Columbia 6/21/2018
B
Wyoming 9/5/2024
B
Massachusetts 6/21/2018

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

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
Temple City, CA
Registered with this firm since 7/2/2018
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Temple City, CA
Registered with this firm since 6/21/2018
Previous Registration(s)
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IA
 07/29/2014 - 06/13/2018 HSBC SECURITIES (USA) INC. (CRD#:19585) LOS ANGELES, CA
B
 07/29/2014 - 06/13/2018 HSBC SECURITIES (USA) INC. (CRD#:19585) LOS ANGELES, CA
IA
 04/06/2010 - 07/14/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SOUTH PASADENA, CA
B
 04/05/2010 - 07/14/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SOUTH PASADENA, CA
IA
 02/01/2010 - 03/16/2010 CHARLES SCHWAB & CO., INC. (CRD#:5393) ARCADIA, CA
B
 02/01/2010 - 03/16/2010 CHARLES SCHWAB & CO., INC. (CRD#:5393) ARCADIA, CA
IA
 11/16/2009 - 11/30/2009 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) MONTEREY PARK, CA
B
 04/08/2009 - 11/30/2009 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, 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.