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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 | 2024-02-06 |
| NY | RA | APPROVED | 2021-10-26 |
| NJ | RA | APPROVED | 2014-06-17 |
| CA | RA | APPROVED | 2014-06-16 |
Branch Locations
1285 Avenue Of The Americas 19Th Floor, New York, NY 10019 • United States
555 California Street 33Rd Floor, San Francisco, CA 94104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | San Francisco | CA | 06/2014 | Present |
1. Frank and Andrew Tse / 520 E 81st Street, Apt 11DNew York CityBew York10028 / rental property / Real Estate / rental property, communicate with tenant / Proprietor / owner / 4/25/2022 2. Park Spring Holdings LLC, Syosset, NY United States-11791, Company, Real Estate, hold a residential rental property in NYC, Proprietor / owneri will manage the rental property the LLC owns2, START DATE-9/16/2024, Investment related- Yes.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-06-16 |
| S63 | Uniform Securities Agent State Law Examination | 2005-08-18 |
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