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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_RES | 2026-04-16 |
| CT | RA | APPROVED | 2017-10-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New London | CT | 04/2016 | Present |
1) East Lyme High School/ investment related?: no / 30 Chesterfield Road, East Lyme, CT 06333/ Coaching the High School Freshman basketball team./ Coaching the High School Freshman basketball team./ Facilitate practices and coach games for the freshman basketball team/ start date: 12/2/2021/ time reqd during working hours?: yes /
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-10-05 |
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