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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2017-08-14 |
| ME | RA | APPROVED | 2015-08-31 |
Branch Locations
One City Center 10Th Floor, Portland, ME 04101 • United States
Scarborough, ME • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services, Inc. | Portland | ME | 06/2015 | Present |
1. MidCoast Humane, Provide shelter, support, and nourishment to animals, Member of Board of directors, Provide perspective, advice, and guidance of financial matters. Develop additional funds to contribute to the organization, start date-4/1/2021,BrunswickME United States04011
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-08-24 |
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