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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katy? Claim Your ProfileKaty Ming-hung Chen is a financial advisor with UBS Financial Services Inc. in San Francisco. Katy has been in the financial services industry since 2002. Before joining UBS Financial Services Inc., Katy worked for JPMorgan Securities LLC and Comerica Securities. Katy holds Series 7, Series 24, Series 63 and Series 65 licenses. Katy has experience in providing financial advice to a variety of clients, including individuals, families, businesses, and institutions. Katy specializes in investment management, retirement planning, and estate planning.
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
09/22/2016 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
04/20/2009 - 09/30/2016
J.P. MORGAN SECURITIES LLC (NEWPORT BEACH CA)
CA
07/30/2003 - 08/02/2007
COMERICA SECURITIES (COSTA MESA CA)
CA
05/02/2001 - 08/18/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
09/18/2000 - 03/26/2002
NEXA SECURITIES (PASADENA CA)
CA
03/21/2001 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
IA
Issued 03/06/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/25/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/27/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/2000
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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