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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2020-12-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Justin Charise | Westport | CT | 06/2018 | 08/2018 |
| Justin Charise | Westport | CT | 08/2018 | 07/2019 |
| Northwestern Mutual Investment Services Llc | Westport | CT | 08/2018 | 07/2019 |
| Northern Trust | Greenwich | CT | 01/2015 | 06/2018 |
| Mitchell Janoff | Westport | CT | 11/2018 | 07/2019 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 11/2018 | 07/2019 |
| Ubs Financial Services Inc. | Westport | CT | 08/2019 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 2018-09-27 |
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