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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-02-07 |
| CO | RA | APPROVED | 2021-08-19 |
| FL | RA | APPROVED | 2021-08-18 |
Branch Locations
1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES
Westminster, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Jacksonville | FL | 01/2015 | 07/2021 |
| Ubs Financial Services | Denver | CO | 08/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 2015-03-02 |
Reach out to this advisor