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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2011-07-11
TX RA APPROVED 2006-10-30
FL RA APPROVED 2006-01-05
  • CT RA
    APPROVED
    Since 2011-07-11
  • TX RA
    APPROVED
    Since 2006-10-30
  • FL RA
    APPROVED
    Since 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

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc New London CT 06/2011 Present
Previous Registrations
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-04-22
S63 Uniform Securities Agent State Law Examination 2001-12-18
  • S66 Uniform Combined State Law Examination
    2004-04-22
  • S63 Uniform Securities Agent State Law Examination
    2001-12-18

View on SEC IAPD

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