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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 | 2023-08-03 |
| NC | RA | APPROVED | 2011-09-20 |
Branch Locations
317 W. Barbee Chapel Road, Chapel Hill, NC 27517 • United States
3700 Glenwood Avenue Suite 300, Raleigh, NC 27612 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Raleigh | NC | 09/2011 | 05/2017 |
| Ubs Financial Services Inc | Raleigh | NC | 06/2017 | Present |
1. Bay Hale Farm LLC, Raleigh NCUnited States-27612, Company, Agriculture & Livestock, LLC for our Farm, Partner, Running of the farm and the LLC, start date-9/19/2025, investment related-Yes.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-06-19 |
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