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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 |
|---|---|---|---|
| WI | RA | APPROVED | 2019-05-03 |
| TX | RA | APPROVED_RES | 2016-07-11 |
| IL | RA | APPROVED | 2016-03-11 |
Branch Locations
1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • United States
8020 Excelsior Drive Suite 400, Madison, WI 53717 • United States
Oconomowoc, WI • 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 | Chicago | IL | 03/2016 | Present |
NAME OF OTHER BUSINESS: Chicago Bar Foundation / INVESTMENT RELATED?: No / ADDRESS: 321 S Plymouth Ct, Chicago/ NATURE OF THE BUSINESS: Charitable arm of the Chicago Bar Association (attorneys) / POSITION: Finance and Investment committee member/ DUTIES: Advisor or advisory group member if advice given may influence an officer/board/ START DATE: 10/10/2022 / HOURS DEVOTED TO BUSINESS:N/A
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 2001-04-23 |
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