Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 | 2019-07-10 |
| CA | RA | APPROVED | 2007-02-09 |
| GA | RA | APPROVED | 2007-02-09 |
| OH | RA | APPROVED | 2007-02-09 |
Branch Locations
18500 Lake Road Suite 400, Rocky River, OH 44116 • 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 |
|---|---|---|---|---|
| Liberty Securities Corporation | Purchase | NY | 08/1998 | Present |
| Mcdonald Investments Inc. | Rocky River | OH | 11/1999 | Present |
| Ubs Financial Services Inc. | Rocky River | OH | 02/2007 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-07-02 |
| S63 | Uniform Securities Agent State Law Examination | 1989-07-14 |
Reach out to this advisor