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Ubs Financial Services Inc. CRD 8174
$916B regulatory AUM 18,245 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-10-29 |
| CA | RA | APPROVED | 2021-10-28 |
| CO | RA | APPROVED | 2021-10-28 |
| CT | RA | APPROVED | 2021-10-28 |
| ME | RA | APPROVED | 2021-10-28 |
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED_RES | 2017-07-26 |
| NJ | RA | APPROVED | 2015-08-12 |
Branch Locations
299 Park Ave 26Th Floor, New York, NY 10171 • United States
1285 Avenue Of The Americas 38Th Floor, New York, NY 10019 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 07/2015 | Present |
PAD FOUNDATION 111 BROADWAY SUITE 1703 NEW YORK, NY 10006 CHARITABLE FOUNDATION NO INVESTMENT PORTFOLIO BOARD MEMBER TREASURER 1 HOUR MONTH NOT DURING TRADING HOURS WWW.PADINST.ORG/PADFOUNDATION/DIRECTORS.HTML 2)The Margarita & John Hennessy Family Foundation / 47 West Lake Road Tuxedo Park,NY 10987 / Member of Board of Directors / / Manage investments / Start Date 8/7/1998
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 2007-03-28 |
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