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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2004-06-02 |
| CA | RA | APPROVED | 2003-07-28 |
Branch Locations
2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Los Angeles | CA | 07/2003 | Present |
M.K. family trust / Serve as a co-trustee along with my mother-in-law on her less than $mm trust. I will only step in if something happens to my mother-in-law and she is not in a postions to make her own decisions, start date-1/8/2019, Folsom CAUnited States-95630.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-09 |
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