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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 |
|---|---|---|---|
| AL | RA | APPROVED | 2012-10-22 |
Branch Locations
4001 Carmichael Road Suite 400, Montgomery, AL 36106 • 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. | Montgomery | AL | 09/2012 | Present |
Hardaway Farms LLC / 8921 Green Chase Dr Montgomery,AL 36117 / Company/ Real Estate / hold family property. Lease hunting and farming. / Other / Sole Member 100% ownership / any and all management and decision making / Start Date 10/21/2016 /
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-10-30 |
| S63 | Uniform Securities Agent State Law Examination | 2007-09-20 |
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