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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2021-11-08 |
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED | 2009-01-09 |
Branch Locations
299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • 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 | 01/2009 | Present |
Kips Bay Boys and Girls Club / 1930 Randall Ave. Bronx,N.Y. 10473 / Other/ Other Youth Services / Youth Services, Education, Cultural, Sports / Trustee / / Board responsibilities include advice on direction of organization; finances; projects; fund raising / Start Date 06/01/2011/ Charitable Organization /
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1999-09-15 |
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