Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 |
|---|---|---|---|
| ME | RA | APPROVED | 2024-09-12 |
| CT | RA | APPROVED | 2024-08-09 |
| NY | RA | APPROVED | 2021-10-26 |
| NJ | RA | APPROVED | 2015-11-25 |
| TX | RA | APPROVED | 2015-11-24 |
Branch Locations
299 Park Ave 26Th Floor, New York, NY 10171 • United States
1285 Avenue Of The Americas 38Th Floor, New York, NY 10019 • 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. | New York | NY | 11/2015 | Present |
1) NAME OF OTHER BUSINESS: Children's Rights / INVESTMENT RELATED?: ________ / ADDRESS: 88 Pine St., Suite 800, NY, NY / NATURE OF THE BUSINESS: Children's Rights investigates, exposes and combats violations of the rights of children across the country./ POSITION: Non voting advisory member to the board. / DUTIES: Advisor or advisory group member if advice given may influence an officer/board / START DATE: 9-19-2022 / HOURS DEVOTED TO BUSINESS: 0-5 hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-08-20 |
| S63 | Uniform Securities Agent State Law Examination | 2008-10-29 |
Reach out to this advisor