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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 | 2022-09-06 |
Branch Locations
1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES
4400 Post Oak Parkway, Houston, TX 77027 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nrl Mortgage | Sugarland | TX | 08/2016 | 06/2017 |
| Bank Of Texas | Sugarland | TX | 06/2017 | 07/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 07/2018 | 07/2022 |
| Ubs Financial Services | Houston | TX | 08/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-09-02 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-13 |
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