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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 |
| CT | RA | APPROVED | 2017-02-24 |
Branch Locations
1285 Avenue Of The Americas 20Th Floor, New York, NY 10171 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner And Smith Incorporated | Pittsford | NY | 05/2012 | 02/2017 |
| Bank Of America, N.A. | Pittsford | NY | 05/2013 | 02/2017 |
| Ubs Financial Services Inc. | Rochester | NY | 02/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-11-20 |
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