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CRD 3007168
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 | 2023-04-13 |
| CA | RA | APPROVED | 2006-11-08 |
Branch Locations
299 Park Ave, New York, NY 10171 • United States
1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES
600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States
1819 Main Street Suite 900, Sarasota, FL 34236 • United States
12800 University Drive Suite 500, Fort Myers, FL 33907 • United States
8000 Health Care Center Blvd., Bonita Springs, FL 34135 • United States
801 Laurel Oak Drive Suite 201, Naples, FL 34108 • United States
801 Laurel Oak Drive Suite 500, Suntrust Building, Naples, FL 34108 • United States
1819 Main Street Suite 900, Sarasota, FL 34236 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 11/2006 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-03 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-27 |
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