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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 | 2025-10-21 |
| NY | RA | APPROVED | 2021-10-26 |
Branch Locations
400 South Salina St Suite 402, Syracuse, NY 13202 • United States
400 Linden Oaks, Rochester, NY 14625-2818 • 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 | Rochester | NY | 03/2006 | Present |
1. Guardian Angel Society, Charity that provides scholarships to economically sensitive children to attend private school K-12, Member of Board of directorsWill be on a sub committee for the Board, the Finance Committee. This Committee meets quarterly for about an hour and half. The function is to develop the annual budget, review and reconcile financial statements, review foundation/investments (not a UBS client), and assist with fund raising events, start date-10/20/2023, SyracuseUnited States-13208.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-10 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-19 |
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