Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Yiutung Chan is an Investment Advisor Representative at UBS Financial Services Inc. with over 39 years of experience in the financial services industry. Francis has a broad range of experience and holds licenses in several states, including California, Arizona, Connecticut, Delaware, Florida, Massachusetts, New York, North Carolina, Ohio, Oregon, Pennsylvania, and Washington. Francis has been associated with UBS Financial Services Inc. since 2016 and has previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Asia International Securities, Inc.
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
03/14/2016 - Present
UBS Financial Services Inc. (Pasadena CA)
CA
01/04/1984 - 03/14/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PASADENA CA)
NA
09/13/1983 - 12/16/1983
ASIA INTERNATIONAL SECURITIES, INC.
NA
07/20/1983 - 08/31/1983
BARABAN SECURITIES, INC.
BOTH
Issued 02/16/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/28/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/1984
Series 3 - National Commodity Futures Examination
BC
Issued 06/05/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 07/16/1983
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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