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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
  • NY RA
    APPROVED
    Since 2021-10-26

Branch Locations

1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • United States

Staten Island, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Painewebber New York NY 05/1998 Present
Ubs Financial Services Inc. New York NY 05/1998 Present
Fordham University Bronx NY 06/1998 Present
  • 05/1998 → Present
    Painewebber
    New York, NY
  • 05/1998 → Present
    New York, NY
  • 06/1998 → Present
    Fordham University
    Bronx, NY
Other Businesses

NAME OF OTHER BUSINESS:South Shore Swimming Club Inc. / INVESTMENT RELATED?:N/ ADDRESS: 6736 Hylan BlvdStaten IslandNew York / NATURE OF THE BUSINESS: Summer Swim Club / POSITION: Member of Board of Directors / DUTIES: staffing, run activities for members, training / START DATE: 4/30/2024 / HOURS DEVOTED TO BUSINESS: NA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-07-13
  • S66 Uniform Combined State Law Examination
    1999-07-13

View on SEC IAPD

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