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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 |
|---|---|---|---|
| VA | RA | APPROVED | 2017-07-13 |
| TX | RA | APPROVED_RES | 2004-04-13 |
| DC | RA | APPROVED | 2000-03-07 |
Branch Locations
1700 M Street Nm 5Th Floor, Washington, DC 20036 • United States
1800 Tysons Blvd 5Th Floor, Suite 550, Mclean, VA 22102 • United States
Vienna, VA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Washington | DC | 09/1998 | Present |
1) 40 St. Financial, LLC / 405 Surrey Lane SE Vienna,VA 22180 / Other/ Real Estate / Investment holding company / Other / Member / Investor / Start Date 5/31/16 LLC /// 2) NAME OF OTHER BUSINESS: JBS Testamentary Trust for SMS with SWS as Trustee and Robert Allred as Successor Trustee / INVESTMENT RELATED?:N/ ADDRESS: 300 Riverview Drive, Baton Rouge,LA/ NATURE OF THE BUSINESS: JBS is the wife of my wife's cousin, SWS. If J passes away before their daughter, SMS, is 45 a Testamentary Trust will be established for SMS per her will. If SWS is living he will be the Trustee. If SWS is deceased they've asked me to be the Successor Trustee. / POSITION: Trustee/ DUTIES: My duty as Trustee would be to distribute the assets to the beneficiary of the Trust as directed by JBS's will. / START DATE: 10/31/22 / HOURS DEVOTED TO BUSINESS: NA /// 3)NAME OF OTHER BUSINESS: SWS Testamentary Trust for SMS with JBS as Trustee and Robert Allred as Successor Trustee / INVESTMENT RELATED?: N / ADDRESS: 300 Riverview Drive, Baton Rouge,LA / NATURE OF THE BUSINESS: SWS is my wife's cousin. If SWS passes away before their daughter, SMS, is 45 a Testamentary Trust will be established for SMS per his will. If JBS is living she will be the Trustee. If JBS is deceased they've asked me to be the Successor Trustee. / POSITION: Trustee / DUTIES: My duty as Trustee would be to distribute the assets to the beneficiary of the Trust as directed by SWS's will. / START DATE:10/31/22/ HOURS DEVOTED TO BUSINESS: NA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-14 |
| S63 | Uniform Securities Agent State Law Examination | 1999-05-27 |
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