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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 | 2021-09-15 |
| CA | RA | APPROVED | 2018-04-09 |
Branch Locations
1285 Avenue Of The Americas Floor 15 Thru 18, New York, NY 10019 • United States
131 South Rodeo Dirve Suite 300, Beverly Hills, CA 90212 • United States
299 Park Avenue 8Th,9Th And 11Th Floor, New York, NY 10171 • United States
New York, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chandler | AZ | 06/2015 | 04/2018 |
| Bank Of America, N.A. | Chandler | AZ | 11/2017 | 04/2018 |
| Ubs Financial Services Inc. | Beverly Hills | CA | 04/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-05-08 |
| S63 | Uniform Securities Agent State Law Examination | 2015-09-24 |
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