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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 | 2023-07-10 |
| TX | RA | APPROVED | 2021-07-23 |
Branch Locations
100 Crescent Court Suite 400, Dallas, TX 75201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Securities Llc | Dallas | TX | 07/2018 | 05/2021 |
| Jpmorgan Chase Bank, N.A. | Dallas | TX | 07/2018 | 05/2021 |
| Jpmorgan Chase Bank, N.A. | Dallas | TX | 05/2017 | 08/2017 |
| The University Of Texas At Austin | Austin | TX | 08/2016 | 05/2017 |
| The University Of Texas At Austin | Austin | TX | 08/2017 | 05/2018 |
| Ubs Financial Services Inc. | Dallas | TX | 06/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-07-23 |
| S63 | Uniform Securities Agent State Law Examination | 2018-10-01 |
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