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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 | 2021-10-26 |
| FL | RA | APPROVED | 2021-06-04 |
| TX | RA | APPROVED | 2019-09-16 |
| NJ | RA | APPROVED | 2018-07-02 |
Branch Locations
100 Se 2Nd Street 27Th Floor, Miami, FL 33131 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Db Trust Company Americas | New York | NY | 10/2015 | Present |
| Deutsche Bank Securities Inc | New York | NY | 10/2015 | Present |
| Ubs Financial Services Inc | New York | NY | 04/2018 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-07-02 |
| S63 | Uniform Securities Agent State Law Examination | 2016-04-06 |
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