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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 | 2024-04-10 |
| NV | RA | APPROVED | 2024-04-09 |
| NY | RA | APPROVED | 2021-10-26 |
| NJ | RA | APPROVED | 2021-01-04 |
| TX | RA | APPROVED_RES | 2021-01-04 |
Branch Locations
Brightwaters, NY • United States
58 South Service Road Suite 310, Melville, NY 11747 • United States
Bay Shore, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Melville | NY | 10/2017 | 01/2021 |
| The Pennsylvania State University | University Park | PA | 08/2015 | 05/2017 |
| Chesapeake Bayhawks Of Major League Lacrosse | Annapolis | MD | 05/2017 | 10/2017 |
| Bank Of America, N.A. | Melville | NY | 04/2018 | 01/2021 |
| Ubs Financial Services Inc. | Melville | NY | 01/2021 | Present |
I am employed as a professional athlete for the Chesapeake Bayhawks of the Major League Lacrosse. It is not investment related. It is located in Annapolis Maryland. I am compensated for my employment. It started in May 2017. I devote about 30 hours annually. My duties are to perform at the highest of my ability in competition against our opponents.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-03-14 |
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