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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 | 2001-07-06 |
Branch Locations
4400 Post Oak Parkway 9Th Floor, Houston, TX 77027 • United States
4400 Post Oak Parkway 17Th Floor, Houston, TX 77027 • United States
Washington, TX • 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. | Houston | TX | 07/2001 | Present |
SJD Memorial Endowment Fund / United States / 2450 River Oaks Blvd. / Houston / Texas / United States / 77019 / ww.sjd.org / No / Charity / / Charity / / Provides oversight for the Endowment's investments according to its investment policy statement. / Active / Member of a committee representing the interests of any third party / / If elected, I will serve on an advisory board for the Memorial Endowment Fund which supports capital projects. We will provide oversight for the fund's investment in accordance with their investment policy statement. We will also approve or reject any requests to support the capital projects. / 9 / No / No / No / No / Start Date 01/01/2019 / / No / / No / / No / No No / Houston, Texas / No / / Yes / / To serve my church utilizing my expertise in the financial services industry. / No / Yes 2) Name of Business: St. John the Divine Memorial Endowment Fund./ Address: 2450 River Oaks Blvd Houston TexasUnited States 77019./ Investment Related: No./ Nature: oversight of the church's endowment./ Role: Advisor or advisory group member if advice given may influence an officer/board./ Duty: help to determine what capital expenditures are needed for the church and distribute funds as part of the committee; also review financial state of endowment and oversee that the investment manager is staying within the investment policy statement; I will not be making any investment recommendations as part of my role./Start Date: 4/19/2023./ Hours Devoted: No./Time Required: N/A.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-04-08 |
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