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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 |
|---|---|---|---|
| DC | RA | APPROVED | 2024-04-30 |
| DE | RA | APPROVED | 2024-04-11 |
| PR | RA | APPROVED | 2024-04-10 |
| IL | RA | APPROVED | 2024-04-04 |
| AR | RA | APPROVED | 2024-04-03 |
| NH | RA | APPROVED | 2024-04-03 |
| VI | RA | APPROVED | 2024-04-03 |
| KY | RA | APPROVED | 2024-04-02 |
| MS | RA | APPROVED | 2024-04-02 |
| SC | RA | APPROVED | 2024-04-02 |
| WY | RA | APPROVED | 2024-04-02 |
| HI | RA | APPROVED | 2024-04-01 |
| IA | RA | APPROVED | 2024-04-01 |
| ND | RA | APPROVED | 2024-04-01 |
| OK | RA | APPROVED | 2024-04-01 |
| WV | RA | APPROVED | 2024-04-01 |
| ID | RA | APPROVED | 2024-03-29 |
| MI | RA | APPROVED | 2024-03-29 |
| NE | RA | APPROVED | 2024-03-29 |
| CO | RA | APPROVED | 2024-03-28 |
| CT | RA | APPROVED | 2024-03-28 |
| FL | RA | APPROVED | 2024-03-28 |
| GA | RA | APPROVED | 2024-03-28 |
| IN | RA | APPROVED | 2024-03-28 |
| KS | RA | APPROVED | 2024-03-28 |
| LA | RA | APPROVED | 2024-03-28 |
| ME | RA | APPROVED | 2024-03-28 |
| MD | RA | APPROVED | 2024-03-28 |
| MN | RA | APPROVED | 2024-03-28 |
| MO | RA | APPROVED | 2024-03-28 |
| MT | RA | APPROVED | 2024-03-28 |
| NV | RA | APPROVED | 2024-03-28 |
| NJ | RA | APPROVED | 2024-03-28 |
| NM | RA | APPROVED | 2024-03-28 |
| NY | RA | APPROVED | 2024-03-28 |
| NC | RA | APPROVED | 2024-03-28 |
| OH | RA | APPROVED | 2024-03-28 |
| PA | RA | APPROVED | 2024-03-28 |
| RI | RA | APPROVED | 2024-03-28 |
| SD | RA | APPROVED | 2024-03-28 |
| UT | RA | APPROVED | 2024-03-28 |
| VT | RA | APPROVED | 2024-03-28 |
| WI | RA | APPROVED | 2024-03-28 |
| AL | RA | APPROVED | 2024-03-27 |
| AK | RA | APPROVED | 2024-03-27 |
| CA | RA | APPROVED | 2024-03-27 |
| TX | RA | APPROVED | 2024-03-27 |
| VA | RA | APPROVED | 2024-03-27 |
| WA | RA | APPROVED | 2024-03-27 |
Branch Locations
131 South Rodeo Dirve Suite 300, Beverly Hills, CA 90212 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Los Angeles | CA | 02/2016 | 12/2016 |
| University Of Southern California | Los Angeles | CA | 08/2016 | 12/2016 |
| University Of Southern California | Los Angeles | CA | 09/2015 | 12/2016 |
| Bank Of America, N.A | Los Angeles | CA | 01/2017 | 12/2023 |
| Ubs Financial Services, Inc | Beverly Hills | CA | 03/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-10-17 |
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