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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2024-06-13 |
| PA | RA | APPROVED | 2023-11-06 |
| NY | RA | APPROVED | 2021-10-26 |
| NJ | RA | APPROVED | 2021-01-13 |
| TX | RA | APPROVED | 2021-01-13 |
Branch Locations
299 Park Ave 26Th Floor, New York, NY 10171 • United States
100 West Putnam Avenue 2Nd Floor, Greenwich, CT 06830 • United States
Garden City, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | New York | NY | 08/2013 | 01/2021 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 01/2021 |
| Ubs Financial Services Inc | New York | NY | 01/2021 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-09-05 |
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