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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 | 2023-11-10 |
| TX | RA | APPROVED | 2023-11-10 |
Branch Locations
1285 Avenue Of The Americas 19Th Floor, New York, NY 10019 • United States
Rego Park, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 02/2018 | 10/2022 |
| Sterling National Bank | Queens | NY | 11/2016 | 02/2018 |
| Unemployed | Flushing | NY | 06/2016 | 11/2016 |
| Morgan Stanley | New York | NY | 11/2022 | 11/2023 |
| Ubs Financial Services Inc. | New York | NY | 11/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 2023-05-10 |
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