Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wynne? Claim Your ProfileWynne Yu-chih I is a financial advisor who has been in the industry since 1994. Wynne is currently registered with UBS Financial Services Inc. Wynne has worked for a number of prominent firms including Morgan Stanley and Citigroup Global Markets Inc.. Wynne is licensed to provide financial services in a variety of states including California, Texas, and others. Wynne holds several securities licenses including Series 3, 7, and 63. Wynne is also a registered Investment Advisor. Wynne has a broad range of experience in the financial services industry, including providing financial planning, portfolio management, and investment advice.
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
06/06/2014 - Present
UBS Financial Services Inc. (PASADENA CA)
CA
06/01/2009 - 06/10/2014
MORGAN STANLEY (PASADENA CA)
CA
03/16/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PASADENA CA)
NY
09/01/1998 - 03/23/2001
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
05/06/1994 - 09/03/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 05/27/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/16/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/1997
Series 3 - National Commodity Futures Examination
BC
Issued 05/02/1994
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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