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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2011-05-24 |
| ME | RA | APPROVED | 2002-08-19 |
Branch Locations
One City Center 7Th Floor, Portland, ME 04101 • United States
One City Center 10Th Floor, Portland, ME 04101 • United States
Portland, ME • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Portland | ME | 03/1998 | Present |
Steady Beans; Organization- Company; Nature of Business- coffee; Role-Proprietor / owner; Duty-master roaster; Receive Compensation- No.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-06-30 |
| S65 | Uniform Investment Adviser Law Examination | 1998-06-25 |
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