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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2024-01-10 |
| FL | RA | APPROVED | 2024-01-10 |
| OK | RA | APPROVED | 2024-01-10 |
| CT | RA | APPROVED | 2022-06-07 |
| IL | RA | APPROVED | 2022-06-07 |
| PA | RA | APPROVED | 2022-06-07 |
| RI | RA | APPROVED | 2022-06-07 |
| NJ | RA | APPROVED | 2021-12-06 |
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED_RES | 2008-02-26 |
Branch Locations
1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • United States
8 Wright Street, Westport, CT 06880-4701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 06/2006 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-09-11 |
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