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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 | 2009-09-11 |
| OK | RA | APPROVED | 2009-08-28 |
Branch Locations
4801 Gaillardia Pkwy. Suite 100, Oklahoma City, OK 73142 • United States
Norman, OK • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Oklahoma City | OK | 08/2009 | Present |
1) Oklahoma Arts Institute / 111 NW 9th Street Oklahoma City,OK 73102 / Other/ Charities, Cultural, Educational & Political Organisations / Conducts arts workshops for high school teachers and students from across the State of Oklahoma / Officer / / Serve as Board President. Responsible for the colloborative effort of the board and Management in implementing the Strategic Plan, and for overseeing the Operations of the organization. / Start Date 11/07/2016/ End Date 11/30/2018/ Nonprofit Charitable Corporation 43434 / Two hours/month for lunch meetings to discuss updates, planning, and to hold Board Meetings
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-11 |
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