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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2022-03-29 |
Branch Locations
555 California Street 33Rd Floor, San Francisco, CA 94104 • United States
Novato, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank, N.A. | San Anselmo | CA | 07/2021 | 12/2021 |
| J.P. Morgan Securities Llc | San Anselmo | CA | 07/2021 | 12/2021 |
| Connect China Llc | Novato | CA | 01/2015 | Present |
| Rosewood Sandhill Hotel | Menlo Park | CA | 02/2017 | 07/2017 |
| Ubs Financial Services Inc | San Francisco | CA | 02/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-03-28 |
| S63 | Uniform Securities Agent State Law Examination | 2021-09-28 |
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