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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 | 2017-05-08 |
| CA | RA | APPROVED | 2010-12-21 |
Branch Locations
1255 Treat Blvd Suite 1000, Walnut Creek, CA 94597 • United States
555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States
Lafayette, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial S. - Wilmington | Palo Alto | CA | 12/2010 | Present |
1. Garrett Bates NIna Punzi JTWROS, LafayetteCalifornia United States-94549, Single Family Rental, jointly owned with my wife, Real Estate Rental income, Owner / landlordLandlord, renting/easing, start date-6/1/2025, Investment related-Yes.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-05-18 |
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