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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 | 2024-11-26 |
Branch Locations
One North Wacker Drive Ste 3300, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E*Trade Securities Llc | Chicago | IL | 04/2021 | 09/2021 |
| Best Dedicated Solutions, Llc | Vernon Hills | IL | 09/2020 | 03/2021 |
| University Of Illinois At Urbana-Champaign | Champaign | IL | 08/2016 | 08/2020 |
| John Caywood - State Farm Insurance Agent | Champaign | IL | 01/2019 | 05/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 02/2022 | 10/2024 |
| Unemployed | Gurnee | IL | 09/2021 | 02/2022 |
| Merit Club Golf Course | Champion | IL | 04/2020 | 09/2020 |
| Ubs Financial Services Inc. | Northbrook | IL | 11/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-11-23 |
| S63 | Uniform Securities Agent State Law Examination | 2021-08-09 |
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