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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2022-10-21 |
| TX | RA | APPROVED | 2022-10-21 |
Branch Locations
555 California St 34Th, 36Th & 46Th Floors, San Francisco, CA 94104 • United States
San Francisco, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Daly City | CA | 04/2011 | 11/2016 |
| Wells Fargo Advisors Llc | Daly City | CA | 09/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Daly City | CA | 11/2016 | 04/2018 |
| Wells Fargo Clearing Services, Llc | San Francisco | CA | 04/2019 | 10/2022 |
| Unemployed | Daly City | CA | 04/2018 | 04/2019 |
| Ubs Financial Services Inc | San Francisco | CA | 10/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-10-18 |
| S63 | Uniform Securities Agent State Law Examination | 2012-10-30 |
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