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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2022-02-04 |
| NJ | RA | APPROVED | 2020-11-30 |
Branch Locations
299 Park Avenue 8Th,9Th And 11Th Floor, New York, NY 10171 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Saint Joseph's University | Philadelphia | PA | 06/2016 | 05/2020 |
| Saint Joseph's Unviersity | Philadelphia | PA | 01/2017 | 05/2017 |
| Sap | Newtown Square | PA | 08/2017 | 03/2018 |
| Ubs Financial Services, Inc. | New York | NY | 06/2018 | 08/2018 |
| Ubs Financial Services, Inc. | New York | NY | 06/2019 | 08/2019 |
| Ubs Financial Services, Inc. | Weehawken | NJ | 07/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-11-24 |
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