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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2023-11-06 |
Branch Locations
One North Wacker Drive Ste 3300, Chicago, IL 60606 • United States
Chicago, IL • 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 |
|---|---|---|---|---|
| Fidelity Investments | Schaumburg | IL | 06/2021 | 10/2023 |
| Northwestern Mutual | Oak Brook | IL | 06/2020 | 08/2020 |
| Downers Grove Park District | Downers Grove | IL | 05/2019 | 08/2019 |
| The Daily Scoop | Clarendon Hills | IL | 06/2014 | 08/2020 |
| Activities And Recreation Center | Champaign | IL | 09/2019 | 04/2021 |
| Ubs Financial Services Inc. | Chicago | IL | 10/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-02-09 |
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