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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 |
|---|---|---|---|
| SD | RA | APPROVED | 2023-04-06 |
| PR | RA | APPROVED | 2023-04-05 |
| WY | RA | APPROVED | 2023-03-29 |
| IA | RA | APPROVED | 2023-03-23 |
| CA | RA | APPROVED | 2023-03-22 |
| CT | RA | APPROVED | 2021-11-29 |
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED_RES | 2019-10-15 |
| NJ | RA | APPROVED | 2010-01-01 |
Branch Locations
1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • United States
New Canaan, CT • United States
600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Ag | New York | NY | 01/2008 | Present |
| Ubs International Inc. | New York | NY | 01/2008 | Present |
| Ubs Financial Services Inc. | Weehawken | NJ | 01/2010 | Present |
Grey Agave, LLC / 320 W 38th St, Apt 2305 New York,New York 10018 / Company/ Other LLC for Private Investment / Private Investment / Other / Sole Owner / N/A / Start Date 2/23/16 /
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-03-09 |
| S63 | Uniform Securities Agent State Law Examination | 2004-07-01 |
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