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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 | 2026-06-09 |
| TX | RA | APPROVED_RES | 2007-01-24 |
| ME | RA | APPROVED | 2002-09-18 |
Branch Locations
One City Center 10Th Floor, Portland, ME 04101 • United States
Boca Raton, FL • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Portland | ME | 01/1995 | Present |
MAINE HEALTH AND EDUCATION / BRAMHALL STREET PORTLAND, ME 04101 / HOSPITAL / HEALTH CARE & PHARMACEUTICALS / MEMBER OF A COMMITTEE WITH MANAGEMENT OR SUPERVISORY FUNCTIONS / INVESTMENT COMMITTEE / START DATE 06/22/2010 / LUNCH TIME DURING WORKING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 1990-01-05 |
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