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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 |
|---|---|---|---|
| DC | RA | APPROVED | 2022-01-04 |
| IL | RA | APPROVED | 2021-11-09 |
| NC | RA | APPROVED | 2021-11-09 |
| MI | RA | APPROVED | 2021-11-08 |
| FL | RA | APPROVED | 2021-11-04 |
| CA | RA | APPROVED | 2021-11-03 |
| CO | RA | APPROVED | 2021-11-03 |
| MD | RA | APPROVED | 2021-11-03 |
| NJ | RA | APPROVED | 2021-11-03 |
| PA | RA | APPROVED | 2021-11-03 |
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED | 2009-01-22 |
Branch Locations
1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • United States
New York, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 01/2009 | Present |
Friends of the Children NY / 204A West 115th Street New York,NY 10026 / Other/ Charities, Cultural, Educational & Political Organisations / Early intervention for at risk children / Officer / / Board member and Treasurer / Start Date 10/1/13 /
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-02-10 |
| S63 | Uniform Securities Agent State Law Examination | 1999-11-12 |
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