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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2022-01-20 |
| NY | RA | APPROVED | 2021-11-30 |
| CT | RA | APPROVED | 2021-11-03 |
| NJ | RA | APPROVED | 2021-11-03 |
| RI | RA | APPROVED | 2021-11-03 |
| TX | RA | APPROVED | 2010-12-17 |
Branch Locations
1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • United States
Placerville, CO • United States
3 disclosure categories 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 | New York | NY | 11/2010 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-11-30 |
| S65 | Uniform Investment Adviser Law Examination | 1999-08-26 |
| S63 | Uniform Securities Agent State Law Examination | 1991-02-14 |
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