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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 |
|---|---|---|---|
| MD | RA | APPROVED | 2023-01-05 |
| FL | RA | APPROVED | 2023-01-04 |
| CT | RA | APPROVED | 2023-01-03 |
| NJ | RA | APPROVED | 2023-01-03 |
| NY | RA | APPROVED | 2023-01-03 |
| TX | RA | APPROVED | 2023-01-03 |
Branch Locations
1285 Avenue Of The Americas 19Th Floor, New York, NY 10019 • 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 |
|---|---|---|---|---|
| Citigroup Global Markets, Inc. | New York | NY | 03/2013 | 05/2019 |
| Morgan Stanley | New York | NY | 05/2019 | 01/2023 |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2019 | 01/2023 |
| Ubs Financial Services Inc | New York | NY | 01/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 10/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-04-24 |
| S63 | Uniform Securities Agent State Law Examination | 2006-12-26 |
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