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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 | 2022-01-06 |
Branch Locations
1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • United States
787 Seventh Avenue 787 Tower, New York, NY 10019 • United States
Scarsdale, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc | New York | NY | 03/2016 | 11/2019 |
| Deutsche Bank Trust Company Americas (Affiliate Of Dbsi) | New York | NY | 03/2019 | 11/2019 |
| Morgan Stanley Smith Barney Llc | New York | NY | 11/2019 | 06/2021 |
| Morgan Stanley Private Bank, N.A | New York | NY | 12/2019 | 06/2021 |
| Ubs Financial Services Inc. | New York | NY | 08/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-08-02 |
| S63 | Uniform Securities Agent State Law Examination | 2013-10-22 |
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