Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Helen? Claim Your ProfileHelen Shue is a financial advisor with UBS Financial Services Inc. located in Pasadena, CA. Helen has been in the financial services industry since 2009. Helen has a strong background in investments, having worked with HSBC Securities (USA) Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Charles Schwab & Co., Inc. Helen is registered with the state of California to provide investment advisory services.
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
07/02/2018 - Present
UBS Financial Services Inc. (PASADENA CA)
CA
07/29/2014 - 06/13/2018
HSBC SECURITIES (USA) INC. (LOS ANGELES CA)
CA
04/05/2010 - 07/14/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SOUTH PASADENA CA)
CA
02/01/2010 - 03/16/2010
CHARLES SCHWAB & CO., INC. (ARCADIA CA)
CA
04/08/2009 - 11/30/2009
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
BOTH
Issued 11/13/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/2009
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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