Richard Chen, financial advisor Pasadena CA
93 score

Richard Chen

CRD Number: 6056009
Current Firm: Ubs Financial Services Inc.

Richard Chen (CRD# 6056009) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Pasadena, CA and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Pasadena, CA Aug 2016 - Current 1
East West Bank Pasadena, CA Aug 2015 - Jul 2016 < 1
Cetera Investment Services LLC St Cloud, MN Aug 2015 - Jul 2016 < 1
Cetera Investment Advisers LLC Pasadena, CA Aug 2015 - Jul 2016 < 1
Citigroup Glendale, CA Jun 2013 - Aug 2015 2
Various Insurance Carriers For W & R Insurance Agencies San Gabriel, CA Jul 2012 - Jun 2013 < 1
Waddell & Reed, Inc. Los Angeles, CA Apr 2012 - Jun 2013 1
Sterling Pathology Medical Corp Seal Beach, CA Dec 2011 - May 2012 < 1
Unemployed San Gabriel, CA Sep 2011 - Dec 2011 < 1
Education San Gabriel, CA Apr 2001 - Sep 2011 10
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2012
Contact Info for Richard Chen
Phone Number: 201-352-3000
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    391,710
    MILLIONS
  • Total Number of Accounts
    885,967
    ACCOUNTS
  • Average Account Value
    $442,127
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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