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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-01-26 |
| CA | RA | APPROVED | 2008-11-04 |
| OK | RA | APPROVED | 2008-10-31 |
Branch Locations
200 Spectrum Center Drive Suite 1800, Irvine, CA 92618 • 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 | Irvine | CA | 10/2008 | Present |
MILLENNIUM SYSTEMS, LLC. / LLC FOR MILLENNIUM SYSTEMS INC, A WEB HOSTING / COLOCATION COMPANY / 580 WALD IRVINE, CA 92618 / OWNER - 45% OWNERSHIP / START DATE 10/01/2010 - / POTENTIAL DEALINGS WITH UBS: NO / 10 HRS PER MONTH. 2) TALL UMBRELLA/600 ANTON BLVD. 12TH FL. COSTA MESA, CA 92626/SOFTWARE COMPANY DUTIES/NON-EMPLOYEE/ADVISORY BOARD MEMBER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-16 |
| S63 | Uniform Securities Agent State Law Examination | 1988-08-04 |
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