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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2026-01-08 |
| CT | RA | APPROVED | 2025-11-17 |
Branch Locations
Wheat Ridge, CO • United States
One State Street Suite 1600, Hartford, CT 06103 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Westport | CT | 08/2018 | 01/2023 |
| Darien Youth Commission | Darien | CT | 06/2018 | 08/2018 |
| University Of Hartford | West Hartford | CT | 09/2014 | 05/2018 |
| Ubs Financial Services Inc. | Hartford | CT | 01/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-11-17 |
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