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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2011-07-11 |
| TX | RA | APPROVED | 2006-10-30 |
| FL | RA | APPROVED | 2006-01-05 |
Branch Locations
2 Union Plaza, New London, CT 06320 • United States
2 Union Plaza, New London, CT 06320 • United States
Madison, CT • 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 | New London | CT | 06/2011 | Present |
1) Madison A Better Chance of Connectucut, MadisonCT, United States-06443,Charity, Madison ABC's purpose is to educate, prepare, and support talented young men of color for college and to be successful leaders in society, We do this by providing a challenging and nurturing high school experience, and by cultivating the interests and talents of our Scholars both in and out of the classroom, The Madison ABC Program is committed to racial equity and encourages integrity, mutual respect, personal growth, and brotherhood for all who are associated with the program, Member of Board of directors, As finance chair I will help with fundraising and allocation of resources, start date- 7/11/2024, This is a cause I feel strongly about and want to contribute to.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-04-22 |
| S63 | Uniform Securities Agent State Law Examination | 2001-12-18 |
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