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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2018-09-17 |
| NH | RA | APPROVED | 2012-11-05 |
| TX | RA | APPROVED_RES | 2012-10-08 |
Branch Locations
11 S. Main Street Suite 300, Concord, NH 03301 • United States
Hopkinton, NH • United States
Vass, NC • 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 | Concord | NH | 10/2012 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-09-21 |
| S63 | Uniform Securities Agent State Law Examination | 1990-08-01 |
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