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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2024-10-04 |
| NY | RA | APPROVED | 2024-09-30 |
Branch Locations
299 Park Ave 26Th Floor, New York, NY 10171 • United States
100 West Putnam Avenue 2Nd Floor, Greenwich, CT 06830 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 05/2023 | Present |
| Unemployed | Wilton | CT | 03/2002 | 04/2023 |
1. Whiteface Lodge, Fractional ownership of a unit in the hotel, Occasionally we will put the unit n the hotel's rental pool and receive a share of the room rental income, Proprietor / owner, "passive investor as a fractional owner in the hotel, occasionally receives rental income", start date-9/27/2021Lake Placid NEW YorkUnited States-12946.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 1991-07-11 |
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