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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-26 |
| NJ | RA | APPROVED | 2016-05-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 11/2013 | Present |
1) NAME OF OTHER BUSINESS: Guidepoint Global / INVESTMENT RELATED?:No/ ADDRESS: 730 Third Ave, 11th Floor, New York / NATURE OF THE BUSINESS: Expert connection resource/ POSITION: Industry Expert/ DUTIES: Expert connection resource / START DATE: 09/01/2016/ HOURS DEVOTED TO BUSINESS: N/A 2) NAME OF OTHER BUSINESS: Fireworks By Grucci/ INVESTMENT RELATED?: No / ADDRESS: 20 Pinehurst Drive, Bellport, NY / NATURE OF THE BUSINESS: Pyrotechnic Design and Display/ POSITION: Certified Pyrotechnician/ DUTIES:/ START DATE: 04/30/2014 / HOURS DEVOTED TO BUSINESS: NA 3) NAME OF OTHER BUSINESS: Security Traders Association/ INVESTMENT RELATED?:N/ ADDRESS: 22 Barnard Place, Manhassett, NY/ NATURE OF THE BUSINESS: Financial (Consumer & Investment Services) / POSITION: Member of a committee representing the interests of any third party/ DUTIES:UBS Representative for their Market Structure Advisory Committee./ START DATE: 5/1/2021 / HOURS DEVOTED TO BUSINESS: NA
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-04-29 |
| S63 | Uniform Securities Agent State Law Examination | 2002-02-16 |
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