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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 |
|---|---|---|---|
| NH | RA | APPROVED | 2021-12-17 |
| TX | RA | APPROVED_RES | 2021-12-16 |
| ME | RA | APPROVED | 2021-12-15 |
Branch Locations
One City Center 10Th Floor, Portland, ME 04101 • United States
Kennebunk, ME • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services | Portland | ME | 02/2013 | 12/2020 |
| Morgan Stanley | Portland | ME | 12/2020 | 12/2021 |
| Ubs Financial Services | Portland | ME | 12/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-07-24 |
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