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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-08-09 |
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED | 2016-09-02 |
Branch Locations
590 Madison Avenue 23Rd Floor, New York, NY 10022 • United States
299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • United States
Mamaroneck, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Painewebber Inc, | Nyc | NY | 03/1998 | Present |
| Ubs Financial Services Inc. | New York | NY | 03/1998 | Present |
ERCL INC. / BRONX, NY 10465 / PARTNERSHIP / HEALTH CARE & PHARMACEUTICALS / EYE EXAMS / PARTNER / NONE / START DATE 07/01/2012. 2 family home / 1506 Urban Street Mamaroneck,NY 10543 / Sole Proprietorship/ Real Estate / I own a 2 family home. My family will live in 1 part of the house and rent out the other part of the housed / Proprietor / owner / maintain the house / Start Date 1/3/2019 /
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-09-02 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-18 |
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