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Detailed Report
RICHARD CHEN
CRD#: 6056009
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
PASADENA, CA 91101
Registration History
201220142016201820202022202420262 FIRMS2012 - 2013 (<1 year)2 FIRMS2013 - 2015 (2 years)2 FIRMS2015 - 2016 (1 year)2 FIRMS2016 - Present (8 years)
License(s)

State Registrations

B
Arizona 7/28/2022
B
Florida 7/28/2022
B
California 9/15/2016
B
Georgia 7/28/2022
IA
California 9/15/2016
B
Tennessee 7/28/2022
B
Colorado 7/28/2022
B
Texas 7/28/2022

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
Alhambra, CA
Registered with this firm since 9/15/2016
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Alhambra, CA
Registered with this firm since 9/15/2016
Previous Registration(s)
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IA
 08/17/2015 - 08/01/2016 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) PASADENA, CA
B
 08/17/2015 - 08/01/2016 CETERA INVESTMENT SERVICES LLC (CRD#:15340) PASADENA, CA
IA
 06/12/2013 - 09/08/2015 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) La Canada-Flintridge, CA
B
 06/12/2013 - 09/08/2015 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) La Canada-Flintridge, CA
IA
 11/09/2012 - 06/20/2013 WADDELL & REED (CRD#:866) SHERMAN OAKS, CA
B
 08/30/2012 - 06/20/2013 WADDELL & REED, INC. (CRD#:866) SHERMAN OAKS, 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.