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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 | 2025-04-24 |
| CA | RA | APPROVED | 2023-09-11 |
| OH | RA | APPROVED | 2020-07-08 |
| NC | RA | APPROVED | 2018-09-07 |
| DC | RA | APPROVED | 2016-08-25 |
| TX | RA | APPROVED | 2007-05-28 |
| CT | RA | APPROVED | 2007-05-03 |
Branch Locations
888 San Clemente Drive Suite 300, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Greenwich | CT | 04/2007 | Present |
1. NFL Players Assocation, NFL Financial Approved Advisor, Wealth Advise, start date-7/1/2019, WashingtonDC United States-20036. 2. FINRA, Arbitrator, Contractor with no managerial responsibilities, start date-7/1/2019, New York United States NY 10006.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-07-29 |
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