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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 | TEMPREG | 2026-08-31 |
| TX | RA | TEMPREG | 2026-08-31 |
Branch Locations
8 Wright Street, Westport, CT 06880-4701 • United States
901 3Rd Avenue South, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-01-23 |
| TX | RA | APPROVED_RES | 2025-01-18 |
Branch Locations
418 Meadow St Ste 202, Fairfield, CT 06824-5365 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch | Fairfield | CT | 01/2016 | 03/2019 |
| Bank Of America | Glastonbury | CT | 07/2016 | 03/2019 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 03/2019 | 01/2025 |
| Northwestern Mutual Investment Services Llc | Norwalk | CT | 03/2019 | 01/2025 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 05/2019 | 01/2025 |
| Ameriprise Financial Services Llc | Fairfield | CT | 01/2025 | 08/2026 |
| Ubs Financial Services Inc. | Westport | CT | 08/2026 | Present |
Real Estate Ownership; Single Family; 294 Nancy Drive, , Bridgeport, CT, 06604; Not Investment-Related; 01/02/2021.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-08-24 |
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