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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
GA RA APPROVED 2023-07-10
TX RA APPROVED_RES 2005-09-02
TN RA APPROVED 2004-01-09
  • GA RA
    APPROVED
    Since 2023-07-10
  • TX RA
    APPROVED_RES
    Since 2005-09-02
  • TN RA
    APPROVED
    Since 2004-01-09

Branch Locations

One Union Square, Chattanooga, TN 37402 • United States

Rising Fawn, GA • 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
Ubs Financial Services Inc. Chattanooga TN 06/2002 Present
Other Businesses

1) Appalachian Carbon Exchange / 1214 Dartmouth StreetChattanoogaTN37405 / The Appalachian Carbon Exchange builds carbon projects that benefit water quality and biodiversity / Member of Board of directors / Board will be involved in the management of the business and affairs of the entity. The board will serve without compensation for their services. / Start Date: 4/1/2022 /// 2) NAME OF OTHER BUSINESS: Long Branch Home Owners Association / INVESTMENT RELATED?: NA/ ADDRESS:PO Box 2275/ NATURE OF THE BUSINESS: Home Owners Association / POSITION: Member of Board of directors / DUTIES: President of the Home Owners Association/ START DATE: 1/1/2021 / HOURS DEVOTED TO BUSINESS: NA 3) Double Park Properties, LLC/Company/buying rental properties/ Role -Proprietor / owner/ Duty - Manage, purchase, and sell rental real estate properties/ Compensation - Yes

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-09-03
  • S66 Uniform Combined State Law Examination
    2002-09-03

View on SEC IAPD

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