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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2026-04-08
  • CT RA
    APPROVED
    Since 2026-04-08

Branch Locations

1000 & 1200 Harbor Blvd., Weehawken, NJ 07086 • United States

One State Street Suite 1600, Hartford, CT 06103 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Hartford CT 01/2026 Present
Block 15 Corvallis OR 08/2025 01/2026
University Of Oregon Lundquist College Of Business Eugene OR 07/2023 08/2025
Marcus & Millichap Portland OR 06/2024 07/2024
Cardinal Group Management Eugene OR 03/2023 07/2023
Pastini Eugene OR 06/2022 03/2023
Jamba Juice Eugene OR 05/2020 06/2022
Brea Olinda High School Brea CA 09/2017 09/2021
Brea Junior High School Brea CA 01/2016 09/2017
  • 01/2026 → Present
    Hartford, CT
  • 08/2025 → 01/2026
    Block 15
    Corvallis, OR
  • 07/2023 → 08/2025
    University Of Oregon Lundquist College Of Business
    Eugene, OR
  • 06/2024 → 07/2024
    Marcus & Millichap
    Portland, OR
  • 03/2023 → 07/2023
    Cardinal Group Management
    Eugene, OR
  • 06/2022 → 03/2023
    Pastini
    Eugene, OR
  • 05/2020 → 06/2022
    Jamba Juice
    Eugene, OR
  • 09/2017 → 09/2021
    Brea Olinda High School
    Brea, CA
  • 01/2016 → 09/2017
    Brea Junior High School
    Brea, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-02-10
  • S66 Uniform Combined State Law Examination
    2026-02-10

View on SEC IAPD

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