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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2025-01-17 |
| NJ | RA | APPROVED | 2025-01-17 |
| NY | RA | APPROVED | 2025-01-17 |
| TX | RA | APPROVED | 2025-01-17 |
| VT | RA | APPROVED | 2025-01-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Bank Usa National Association | New York | NY | 07/2018 | 02/2021 |
| Hsbc Securities (Usa) Inc | New York | NY | 08/2018 | 02/2021 |
| Boston College | Chestnut Hill | MA | 09/2017 | 05/2018 |
| J.P. Morgan | New York | NY | 06/2017 | 08/2017 |
| Boston College | Chesnut Hill | MA | 09/2016 | 12/2016 |
| Rbc Capital Markets, Llc | New York | NY | 02/2021 | 01/2025 |
| University College Cork | Cork | 01/2017 | 05/2017 | |
| Unemployed | Colts Neck | NJ | 06/2018 | 06/2018 |
| Ubs Financial Services Inc. | New York | NY | 01/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-12-31 |
| S63 | Uniform Securities Agent State Law Examination | 2018-12-11 |
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