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Andrew Yuen

UBS Asset Management (us) Inc.

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About Andrew Yuen

Andrew Yuen is a financial advisor at UBS Asset Management (us) Inc., in the New York, NY branch. Andrew is registered with FINRA and is licensed to offer securities in New York. Andrew has been in the securities industry since June 22, 1996.

Firm Information

Andrew Yuen is currently registered with UBS Asset Management (us) Inc.. UBS Asset Management (us) Inc. is a corporation formed in May 1977 and is approved in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 1 approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

37

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Andrew Yuen’s Registration & Firm History

NY

11/04/2022 - Present

UBS Asset Management (us) Inc. (NEW YORK NY)

NJ

01/01/2010 - 10/04/2023

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

06/23/2005 - 01/01/2010

UBS INTERNATIONAL INC. (NEW YORK NY)

NY

01/13/2004 - 05/20/2005

CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)

NE

05/06/2003 - 01/14/2004

TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)

NY

08/17/1995 - 07/31/2002

BARCLAYS CAPITAL INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 08/25/2003

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/29/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/16/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Andrew Yuen.
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