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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
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
  • TX RA
    APPROVED_RES
    Since 2024-02-06
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2014-06-17
  • CA RA
    APPROVED
    Since 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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. San Francisco CA 06/2014 Present
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-06-16
S63 Uniform Securities Agent State Law Examination 2005-08-18
  • S65 Uniform Investment Adviser Law Examination
    2014-06-16
  • S63 Uniform Securities Agent State Law Examination
    2005-08-18
Other Names
  • Andrew Ling Tse
  • Andrew Ling Ling Tse

View on SEC IAPD

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