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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2025-01-23 |
| PA | RA | APPROVED | 2024-09-12 |
| NY | RA | APPROVED | 2024-07-30 |
| NJ | RA | APPROVED | 2024-02-09 |
| TX | RA | APPROVED_RES | 2024-02-09 |
Branch Locations
61 South Paramus Road 4Th Floor, Paramus, NJ 07652 • United States
Montclair, NJ • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Paramus | NJ | 11/1996 | 02/2024 |
| Bank Of America, Na | Paramus | NJ | 11/2009 | 02/2024 |
| Ubs | Paramus | NJ | 02/2024 | Present |
I*37525 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: EVA'S VILLAGE INVESTMENT RELATED: N ADDRESS OF BUSINESS: 393 MAIN STREET, PATERSON, NEW JERSEY 7501 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 1/4/2010 NUMBER OF HOURS DEVOTED: 20 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 4 DUTIES: SIT ON THE BOARD PANNEL AND HELP WITH FUND RAISERS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 1997-01-17 |
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