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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 | 2011-07-22 |
Branch Locations
4400 Post Oak Parkway 17Th Floor, Houston, TX 77027 • 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 | Houston | TX | 06/2011 | Present |
City of Bellaire (Cultural Arts Board) / Bellaire United States,Texas www.ci.bellaire.tx.us / No/ Cultural Arts Board Community art & culture / No / Advisor or member of an advisory committee, if the advice given will or may influence an officer or board of a governmental entity / / member of 8 person committee / Start Date 9/10/14
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 2002-03-28 |
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