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Eric Chen

UBS Securities LLC

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About Eric Chen

Eric Chen is a financial professional who joined UBS Securities LLC in August 2024. Eric holds the Series 79TO and SIE exams and is registered with FINRA. Eric's professional experience includes investment banking.

Firm Information

Eric Chen is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

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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Eric Chen’s Registration & Firm History

NY

08/23/2024 - Present

UBS Securities LLC (New York NY)

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Licenses & Designations

BC

Issued 08/23/2024

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 05/29/2024

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Eric Chen.
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