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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 |
|---|---|---|---|
| SC | RA | APPROVED | 2024-07-26 |
| PA | RA | APPROVED | 2021-11-18 |
| FL | RA | APPROVED | 2020-07-27 |
| TX | RA | APPROVED | 2015-07-27 |
| DE | RA | APPROVED | 2015-03-24 |
Branch Locations
20 Montchanin Road Suite 170, Greenville, DE 19807 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Wilmington | DE | 03/2015 | Present |
Nativity Preparatory School of Wilmington , United States , https://nativitywilmington.org/ ,Educational Establishment , Education Nativity Preparatory School of Wilmington, a catholic middle school dedicated to transforming lives, opened its doors in September 2003 to 15 excited and enthusiastic fifth and sixth grade students. Since then, Nativity continues to thrive by serving low-income boys of all faiths in grades fifth through eighth by instilling values and empowering them through rigorous academics, strong values, and high expectations. , Other My role would be to act as a member of the investment committee. I would help bring planning insight to the committee for the head of the investment committee to manage the school's liquidity and portfolio. The school's funds are not held at UBS nor directly managed by me or anyone else at UBS. I would not have authorization to make investment decisions or transactions., Start date 6/15/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-03-24 |
| S63 | Uniform Securities Agent State Law Examination | 2013-01-31 |
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