Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis Yim is an investment advisor representative with UBS Financial Services Inc. Dennis has been in the industry since March 1999. Dennis works in the Pasadena branch office of UBS Financial Services Inc. Dennis is registered in California and Nevada.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
09/11/2023 - Present
UBS Financial Services Inc. (Pasadena CA)
CA
06/21/2005 - 10/05/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PASADENA CA)
NY
03/31/1999 - 06/24/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
BOTH
Issued 10/12/2005
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/12/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/31/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/30/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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