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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lee? Claim Your ProfileLee Shin Chen is a financial advisor who has been in the industry since April 21, 1997. Lee is currently registered with UBS Financial Services Inc. in California and Texas. Lee has worked with clients of all sizes and has experience in providing a variety of financial services, including financial planning, investment management, and pension consulting. Lee is also registered as an investment advisor representative. Lee has held previous positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Charles Schwab & Co., 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
10/22/2009 - Present
UBS Financial Services Inc. (PASADENA CA)
CA
04/05/2000 - 02/02/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PASADENA CA)
TX
04/11/1997 - 03/24/2000
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IA
Issued 05/10/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/02/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/1997
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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