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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 |
|---|---|---|---|
| GA | RA | APPROVED | 2019-04-24 |
Branch Locations
3560 Lenox Road Ne 28Th Floor, Atlanta, GA 30326 • United States
Marietta, GA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mizuho Securities Usa Inc | Atlanta | GA | 11/2014 | 08/2017 |
| Janney Montgomery Scott Llc | Atlanta | GA | 01/2018 | 10/2018 |
| Unemployed | N/A | GA | 08/2017 | 01/2018 |
| Ubs Financial Services | Atlanta | GA | 11/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-04-23 |
| S63 | Uniform Securities Agent State Law Examination | 2002-06-07 |
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