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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 | 2026-03-27 |
| FL | RA | APPROVED | 2026-03-17 |
| GA | RA | APPROVED | 2026-02-02 |
| CT | RA | APPROVED | 2026-01-13 |
| TX | RA | APPROVED | 2026-01-13 |
Branch Locations
One State Street Suite 1600, Hartford, CT 06103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Providence College | Providence | RI | 06/2014 | 05/2018 |
| Ubs Financial Services Inc | Hartford | CT | 05/2015 | 08/2017 |
| Fisher Investments | Tampa | FL | 09/2024 | 08/2025 |
| Unemployed | N/A | CT | 05/2018 | 12/2018 |
| Ubs Financial Services Inc | Weehawken | NJ | 12/2018 | 01/2021 |
| Ubs Financial Services Inc. | Hartford | CT | 01/2021 | 08/2024 |
| Unemployed | N/A | CT | 08/2024 | 09/2024 |
| Ubs Financial Services Inc | Tampa | FL | 01/2026 | Present |
| Unemployed | Tampa | FL | 08/2025 | 12/2025 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-05-17 |
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