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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 | 2024-09-19 |
| VT | RA | APPROVED | 2024-01-16 |
| PA | RA | APPROVED | 2023-10-23 |
| NY | RA | APPROVED | 2023-10-20 |
| TX | RA | APPROVED_RES | 2023-10-20 |
Branch Locations
299 Park Ave 26Th Floor, New York, NY 10171 • United States
New York, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mcadam Llc | Boston | MA | 06/2020 | 09/2021 |
| Department Of Public Works/The City Of Cambridge | Cambridge | MA | 06/2019 | 08/2019 |
| Mount Sunapee/Vail Resorts | Newbury | NH | 12/2016 | 03/2021 |
| Terri Wilcox Garden Design | New London | NH | 06/2017 | 08/2018 |
| Colorado College | Colorado Springs | CO | 08/2016 | 05/2020 |
| Stifel Nicolaus | New York | NY | 09/2021 | 10/2023 |
| Ubs Financial Services Inc | New York | NY | 10/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-04-27 |
| S65 | Uniform Investment Adviser Law Examination | 2020-10-07 |
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