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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-04-04 |
| SC | RA | APPROVED | 2015-09-17 |
Branch Locations
941 Houston Northcutt Blvd Suite 100, Mt. Pleasant, SC 29464 • United States
Charleston, SC • 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. | Charleston | SC | 09/2015 | Present |
1.)CHARLESTON CATHOLIC SCHOOL. FINANCE COMMITTEE. 888 KING ST. CHARLESTON, SC 29403. BOARD MEMBER. 2 HRS/QUARTER. 0 HRS/TRADING DAY. ADVISE PRINCIPAL ON SCHOOL BUDGET. 2.)VOICE OVER FOR A SERIES OF RADIO SPOTS-RECORD A SERIES OF COMMERCIALS FOR LOCAL RADIO STATIONS-1 HR/MONTH, NON DURING WORKING HOURS-NO COMPENSATION
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-06-04 |
| S63 | Uniform Securities Agent State Law Examination | 1998-01-23 |
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