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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2023-02-24 |
| TX | RA | APPROVED_RES | 2021-05-05 |
| CO | RA | APPROVED | 2018-08-20 |
Branch Locations
1801 13Th Street, Boulder, CO 80302 • United States
Denver, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stive Prepatory School - Rise | Denver | CO | 06/2017 | 06/2018 |
| Ubs Financial Services, Inc. | Denver | CO | 06/2018 | Present |
| Unemployed | Guatemala City | 03/2015 | 05/2017 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-08-20 |
| S63 | Uniform Securities Agent State Law Examination | 2006-09-26 |
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