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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 |
|---|---|---|---|
| TN | RA | APPROVED | 2022-04-06 |
Branch Locations
One Union Square, Chattanooga, TN 37402 • United States
Signal Mountain, TN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Equitable Advisors, Llc | New York | NY | 09/2021 | 03/2022 |
| J Raschke, George Financial | Chattanooga | TN | 09/2021 | 03/2022 |
| Unemployed | Signal Mtn | TN | 10/2020 | 09/2021 |
| Unify Financial Credit Union | Chattanooga | TN | 06/2016 | 10/2020 |
| Ubs Financial Services Inc. | Chattanooga | TN | 04/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 2021-03-11 |
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