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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 |
|---|---|---|---|
| MN | RA | APPROVED | 2013-12-09 |
| TX | RA | APPROVED_RES | 2004-10-20 |
Branch Locations
681 East Lake Street Suite 354, Wayzata, MN 55391 • United States
80 South 8Th Street Suite 2900, Minneapolis, MN 55402 • United States
St. Paul, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Minnetonka | MN | 08/1999 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-12 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-16 |
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