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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 | 2021-07-17 |
| ME | RA | APPROVED | 2021-07-16 |
Branch Locations
One City Center 10Th Floor, Portland, ME 04101 • United States
Portland, ME • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Portland | ME | 04/2007 | 07/2021 |
| Bank Of America, N.A. | Portland | ME | 09/2009 | 07/2021 |
| Ubs Financial Services | Portland | ME | 07/2021 | Present |
NAME OF OTHER BUSINESS:New England Advisory Board for The Trust for Public Land / INVESTMENT RELATED?: N / ADDRESS: 30 Danforth St STE 306PortlandMaine / NATURE OF THE BUSINESS: TPL creates and preserves outdoor spaces to support healthy lifestyles and a greater engagement with outdoor activities. / POSITION:Advisor or advisory group member if advice given may influence an officer/board / DUTIES:Non-fiduciary advisory board member providing helpful connections and guidance on current projects. / START DATE: 7/24/2021/ HOURS DEVOTED TO BUSINESS: NA
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-02-12 |
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