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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED_RES | 2011-07-25 |
Branch Locations
299 Park Ave 26Th Floor, New York, NY 10171 • United States
Winchester, MA • United States
1285 Avenue Of The Americas 38Th Floor, New York, NY 10019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 06/2011 | Present |
HCST Foundation Advisory Council / Jersey City United States,New Jersey http://www.hcstfoundation.org/home/#home / No/ Daniel Gans, Silverio Vega, Amy Lin-Rodriguez Creating learning opportunities/experiences for students of HCST / No / Other / advisory council member / idea sharing with other membes to create learning experiences for students / Start Date 03/22/2017/ Appointed No / No
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-10-12 |
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