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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2024-04-22 |
| OH | RA | APPROVED | 2024-04-19 |
| NY | RA | APPROVED | 2021-11-08 |
| TX | RA | APPROVED_RES | 2009-02-02 |
| IL | RA | APPROVED | 2002-02-21 |
Branch Locations
1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • United States
Chicago, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Chicago | IL | 02/2002 | Present |
WINDERMERE HOLDINGS LLC; 5983 SE Mourning Dove Way, Hobe Sound, FL 33455; Currently publicly traded investments; Officer; Advising on investments and loan against investments; 1/16/2011; Business hours per month: No S.W. Family GST Trust, This is a Trust which aggregates a number of family accounts which I have disclosed and simply my duty as one of the trustees is to sign the tax return. This entity has no account opened and any expenses or taxes owed are paid out of Killian LLC, a disclosed account, Review and Sign Tax returns for S.W. Family GST Trust, start date-1/1/2017, FL United States-33455.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-02-21 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-02 |
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