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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-26 |
| NJ | RA | APPROVED | 2021-01-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Prime Services, Llc | New York | NY | 08/2014 | 08/2017 |
| Wells Fargo Securities, Llc | New York | NY | 08/2017 | 04/2018 |
| Unemployed | Brooklyn | NY | 04/2018 | 11/2019 |
| Ubs Financial Services Inc. | Weehawken | NJ | 11/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 2013-04-12 |
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