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AY

Andrew Yuen

UBS ASSET MANAGEMENT (US)
New York, NY 10019
Some features on this profile are disabled
CRD#: 2620200
AY

Professional summary

Andrew Yuen, who also goes by Andrew Wai Yuen, is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 1995. Andrew has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew Wai Yuen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Trader Joe's / Food and grocery stores / 400 Grand Street NY 10002 / United States / traderjoes.com / Part time employee operating customer check outs and other retail store duties / No / Start Date 6/15/2019 / Active / No / No 2) Name of Business: AY Legacy LLC./ Address: 115 Englewood Cove Saltillo Mississippi United States 38866./ Investment Related: Yes./ Nature: The business is for owning and renting residential property./ Role: Proprietor / owner./ Duty: The business is for owning and renting residential property./ Start Date: 6/16/2023./ Hours Devoted: No.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Yuen's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 4, 2022 - Present

UBS ASSET MANAGEMENT (US) INC.

Office #1: 787 7th Avenue, New York, NY 10019
BD
CRD#: 583
New York, NY
Past

February 1, 2013 - October 4, 2023

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

January 1, 2010 - October 4, 2023

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 23, 2005 - January 1, 2010

UBS INTERNATIONAL INC.

BD
CRD#: 107726
NEW YORK, NY
Past

January 13, 2004 - May 20, 2005

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
NEW YORK, NY
Past

January 13, 2004 - May 20, 2005

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

May 6, 2003 - January 14, 2004

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

August 17, 1995 - July 31, 2002

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(11/4/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/25/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/29/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1995
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

UA
UBS ASSET MANAGEMENT (US) INC.
BRINSON ADVISORS | UBS GLOBAL ASSET MANAGEMENT (US) INC. | UBS GLOBAL ASSET MANAGEMENT | UBS ASSET MANAGEMENT (US) INC. | PAINE WEBBER MITCHELL HUTCHINS INC. | MITCHELL HUTCHINS ASSET MANAGEMENT INC. | BRINSON ADVISORS, INC.

CRD#: 583 / SEC#: , 8-21901

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
1285 Avenue Of The Americas, New York, NY 10019
Mailing Address
1285 Avenue Of The Americas, New York, NY 10019
Phone number
(212) 821-3000
Established
Delaware since 05/05/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UBS AMERICAS INC.DIRECT OWNER
BELASCO, MICHAEL SCOTTPRESIDENT AND CEO4649742
HORAN, KATHLEEN ELIZABETHCHIEF FINANCIAL OFFICER - FINOP5188874
KEMPER, MARK FREDERICKSECRETARY AND CHIEF LEGAL COUNSEL4347419
MULLEN, BARRY JOHNCHIEF COMPLIANCE OFFICER1814958

Disclosures

Regulatory Event10

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583New York, NY 10019

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Contact information

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