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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2025-10-20 |
| NJ | RA | APPROVED | 2025-10-20 |
| NY | RA | APPROVED | 2025-10-20 |
Branch Locations
1285 Avenue Of The Americas 19Th Floor, New York, NY 10019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | New York | NY | 09/2013 | 05/2025 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 05/2025 |
| Oppenheimer & Co. Inc. | New York | NY | 05/2025 | 10/2025 |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2020 | 05/2025 |
| Ubs Financial Services Inc. | New York | NY | 10/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-12-28 |
| S65 | Uniform Investment Adviser Law Examination | 2012-04-16 |
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