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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 |
|---|---|---|---|
| WA | RA | APPROVED | 2023-03-17 |
Branch Locations
601 W. Riverside Avenue, Spokane, WA 99201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab And Co., Inc. | Spokane | WA | 04/2020 | 01/2023 |
| Charles Schwab Bank, Ssb | Spokane | WA | 04/2020 | 01/2023 |
| Washington Trust Bank | Spokane | WA | 02/2015 | 04/2020 |
| Ubs Financial Services, Inc. | Spokane | WA | 01/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-03-17 |
| S63 | Uniform Securities Agent State Law Examination | 2020-09-01 |
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