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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-10 |
Branch Locations
555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Goldman Sachs & Co. Llc | San Francisco | CA | 09/2020 | 03/2024 |
| Morgan Stanley | San Francisco | CA | 01/2020 | 08/2020 |
| Bank Of America Merrill Lynch | San Francisco | CA | 07/2019 | 12/2019 |
| Merrill Lynch | Tacoma | WA | 09/2018 | 04/2019 |
| Becu | Tukwila | WA | 06/2018 | 09/2018 |
| University Of Washington | Seattle | WA | 04/2017 | 06/2019 |
| Tacoma Community College | Tacoma | WA | 06/2015 | 04/2017 |
| Ubs Financial Services Inc | San Francisco | CA | 07/2024 | Present |
| Unemployed | Millbrae | CA | 04/2024 | 07/2024 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-01-10 |
| S63 | Uniform Securities Agent State Law Examination | 2021-02-12 |
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