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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 | 2016-08-29 |
| CA | RA | APPROVED | 2007-08-06 |
Branch Locations
2121 Rosecrans Avenue Suite 1300, El Segunda, CA 90245 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Los Angeles | CA | 07/2007 | Present |
UCLA / DEPT OF MILITARY SCIENCE AT UCLA / 220 WESTWOOD PLAZA LOS ANGELES, CA 90095 / ADJUNCT PROFESSOR OF MILITARY SCIENCE / START DATE 07/04/2010 / 12 HRS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-04 |
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