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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2024-01-09 |
| MD | RA | APPROVED | 2024-01-04 |
| TX | RA | APPROVED | 2019-07-24 |
Branch Locations
750 Town And Country Blvd Suite 400, Houston, TX 77024 • United States
San Antonio, TX • United States
Promenade One 17802 Ih 10 W Suite 210, San Antonio, TX 78257 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Houston | TX | 06/2015 | 10/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Houston | TX | 10/2017 | 07/2019 |
| Bank Of America, N.A. | Houston | TX | 10/2017 | 07/2019 |
| Ubs Financial Services Inc. | Houston | TX | 07/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-07-31 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-13 |
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