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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2024-06-20 |
| TX | RA | APPROVED_RES | 2024-06-19 |
| NY | RA | APPROVED | 2024-06-18 |
Branch Locations
3 Manhattanville Road Suite 210, Purchase, NY 10577 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | White Plains | NY | 04/1996 | 06/2024 |
| Bank Of America, Na | White Plains | NY | 12/2009 | 06/2024 |
| Ubs Financial Services Inc | White Plains | NY | 06/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 1999-02-06 |
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