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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2023-12-12 |
| NY | RA | APPROVED | 2022-09-21 |
| TX | RA | APPROVED | 2022-09-21 |
Branch Locations
299 Park Avenue 8Th,9Th And 11Th 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 05/2021 | 09/2022 |
| University Of South Carolina | Columbia | SC | 08/2014 | 05/2020 |
| Unemployed | Point Lookout | NY | 05/2020 | 05/2021 |
| Ubs | New York | NY | 09/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-07-08 |
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