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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-09-11 |
| CT | RA | APPROVED | 2023-09-20 |
| NY | RA | APPROVED | 2023-05-26 |
Branch Locations
299 Park Ave 26Th Floor, New York, NY 10171 • United States
New York, NY • United States
100 West Putnam Avenue 2Nd Floor, Greenwich, CT 06830 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Chase Bank Na | Summit | NJ | 06/2020 | 03/2023 |
| Jpmorgan Securities Llc | Summit | NJ | 06/2020 | 03/2023 |
| Jpmorgan Chase Bank Na | Summit | NJ | 05/2019 | 08/2019 |
| Ubs | New York | NY | 06/2018 | 08/2018 |
| Lilly Pulitzer | Boston | MA | 08/2017 | 09/2017 |
| In The Pink | Nantucket | MA | 06/2017 | 08/2017 |
| Boston College | Chestnut Hill | MA | 08/2016 | 05/2020 |
| Ubs Financial Services Inc | New York | NY | 04/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-05-26 |
| S63 | Uniform Securities Agent State Law Examination | 2020-09-14 |
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