Kuni Chen

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Finance

Consumer Services

Profile

Mr. Kuni M.
Chen, CFA, is Executive Director & Lead Equity Research Analyst at UBS Securities LLC.
He joined the firm in January 2014.
He was previously employed as Senior Vice President by Wellington Shields & Co. LLC, a Managing Director by CRT Capital Group LLC, Vice President by Banc of America Securities LLC, and Miller Tabak + Co. LLC, Senior Director by Merrill Lynch, Pierce, Fenner & Smith, Inc., Equity Research Associate by Salomon Smith Barney, Inc., Market Research Analyst by First Empire State Corp., and a Research Analyst by Banc of America Securities LLC.
Mr. Chen received his Bachelor of Arts, Economics & Political Science (Double Major) degree from Middlebury College in 1993.

Former positions of Kuni Chen

Companies	Position	End
UBS Securities LLC UBS Securities LLC Investment Banks/BrokersFinance Provides brokerage services	Analyst-Equity	01/10/2014
Wellington Shields & Co. LLC Wellington Shields & Co. LLC Investment Banks/BrokersFinance Provides brokerage services	Analyst-Equity	31/12/2013
CRT Capital Group LLC CRT Capital Group LLC Investment Banks/BrokersFinance Provides brokerage services	Analyst-Equity	31/03/2013
Merrill Lynch, Pierce, Fenner & Smith, Inc. /Old/ Merrill Lynch, Pierce, Fenner & Smith, Inc. /Old/ Investment Banks/BrokersFinance Provides brokerage services	Analyst-Equity	-
Banc of America Securities LLC Banc of America Securities LLC Investment Banks/BrokersFinance Provides brokerage services	Analyst-Equity	31/12/2008

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Training of Kuni Chen

Experiences
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Linked companies

Private companies	9
Merrill Lynch, Pierce, Fenner & Smith, Inc. /Old/ Merrill Lynch, Pierce, Fenner & Smith, Inc. /Old/ Investment Banks/BrokersFinance Provides brokerage services	Finance
UBS Securities LLC UBS Securities LLC Investment Banks/BrokersFinance Provides brokerage services	Finance
Miller Tabak + Co. LLC Miller Tabak + Co. LLC Investment Banks/BrokersFinance Provides brokerage services	Finance
First Empire State Corp. First Empire State Corp. Financial ConglomeratesFinance Bank holding company	Finance
Banc of America Securities LLC Banc of America Securities LLC Investment Banks/BrokersFinance Provides brokerage services	Finance
CRT Capital Group LLC CRT Capital Group LLC Investment Banks/BrokersFinance Provides brokerage services	Finance
Middlebury College Middlebury College Other Consumer ServicesConsumer Services Functions as a College/University	Consumer Services
Salomon Smith Barney, Inc. Salomon Smith Barney, Inc. Investment Banks/BrokersFinance Provides investment banking services	Finance
Wellington Shields & Co. LLC Wellington Shields & Co. LLC Investment Banks/BrokersFinance Provides brokerage services	Finance

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