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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2024-11-14 |
Branch Locations
100 Se 2Nd Street 27Th Floor, Miami, FL 33131 • United States
Miami, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Goldman Sachs | Miami | FL | 01/2021 | 04/2022 |
| Interactive Brokers | West Palm Beach | FL | 08/2019 | 01/2021 |
| Regions Bank | Miami | FL | 04/2018 | 08/2019 |
| South Florida Pulmonary And Critical Care Associates | Miami | FL | 03/2015 | 04/2018 |
| Ubs Financial Sevices.iNc | Miami | FL | 04/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-10-21 |
| S66 | Uniform Combined State Law Examination | 2020-06-01 |
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