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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hsin-yen? Claim Your ProfileHsin-yen Sunny Neilon is a registered investment advisor with UBS Financial Services Inc. in San Francisco, CA. Hsin-yen has been in the industry since January 1998. Hsin-yen specializes in portfolio management for individuals and businesses, financial planning, pension consulting, and educational seminars. Hsin-yen is registered in California, Illinois, Nevada, Pennsylvania, and Texas. Prior to joining UBS Financial Services Inc. Hsin-yen worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and U. S. PACIFIC FINANCIAL SERVICES, 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
11/02/2015 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
09/22/2000 - 11/11/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BREA CA)
CA
10/07/1998 - 09/06/2000
U. S. PACIFIC FINANCIAL SERVICES, INC. (ALHAMBRA CA)
NA
01/15/1998 - 11/05/1998
CAPITAL WORLD SECURITIES CORP
IA
Issued 10/10/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/12/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 01/14/1998
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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