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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2019-12-06 |
| TX | RA | APPROVED_RES | 2008-07-14 |
| TN | RA | APPROVED | 2004-01-09 |
Branch Locations
214 East Mountcastle Drive Suite 1-A, Johnson City, TN 37601 • United States
214 East Mountcastle Drive, Johnson City, TN 37601 • United States
Johnson City, TN • 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. | Johnson City | TN | 02/2003 | Present |
1. The Club at Lake Harbor Homeowners Association Johnson City, Treasurer for the homeowners association, Treasurer, start date-9/17/2007. 2. B&B Homes, LLC, Build Homes, Partner, Provide cash and help with bookkeeping, start date-2/1/2024, Johnson CityTNUnited States-37615.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-05-16 |
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