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Detailed Report
Debbie Chen
CRD#: 6735710
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
Pasadena, CA 91101
Registration History
20172018201920202021202220232024202520262 FIRMS2021 - Present (3 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2017 - 2021 (4 years)IAHSBC SECURITIES (USA) INC. (CRD# 19585)2021 - 2021 (<1 year)
License(s)

State Registrations

B
Alabama 5/25/2023
B
Minnesota 5/25/2023
B
Arizona 9/24/2021
B
Missouri 9/24/2021
B
California 9/24/2021
B
Nevada 9/24/2021
IA
California 9/24/2021
B
New Hampshire 1/4/2023
B
Colorado 9/24/2021
B
New Jersey 9/24/2021
B
Connecticut 9/24/2021
B
New Mexico 9/24/2021
B
Delaware 6/7/2023
B
New York 9/24/2021
B
Florida 9/24/2021
B
North Carolina 6/7/2023
B
Georgia 9/24/2021
B
Ohio 5/25/2023
B
Hawaii 6/10/2024
B
Oregon 9/24/2021
B
Idaho 9/7/2023
B
Pennsylvania 9/24/2021
B
Illinois 9/24/2021
B
Rhode Island 5/25/2023
B
Indiana 9/24/2021
B
South Carolina 9/24/2021
B
Kansas 9/24/2021
B
Texas 9/24/2021
B
Kentucky 9/24/2021
IA
Texas 11/8/2021
B
Louisiana 9/24/2021
B
Utah 5/25/2023
B
Maine 5/25/2023
B
Virgin Islands 5/25/2023
B
Maryland 6/7/2023
B
Virginia 9/24/2021
B
Massachusetts 9/24/2021
B
Washington 2/1/2023
B
Michigan 9/24/2021
B
Wyoming 5/25/2023

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 9/24/2021
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, Pasadena, CA 91101
Registered with this firm since 9/24/2021
Previous Registration(s)
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IA
 03/29/2021 - 10/12/2021 HSBC SECURITIES (USA) INC. (CRD#:19585) BEVERLY HILLS, CA
B
 03/20/2017 - 10/12/2021 HSBC SECURITIES (USA) INC. (CRD#:19585) BEVERLY HILLS, 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.