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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2026-02-17 |
| CT | RA | APPROVED | 2026-01-08 |
| NC | RA | APPROVED | 2023-10-26 |
| RI | RA | APPROVED | 2023-10-26 |
| NY | RA | APPROVED | 2021-10-26 |
| NJ | RA | APPROVED | 2014-03-11 |
Branch Locations
299 Park Ave 26Th Floor, New York, NY 10171 • United States
1285 Avenue Of The Americas 38Th Floor, New York, NY 10019 • United States
Scarsdale, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 03/2014 | Present |
Rhode Island College / Providence United States,Rhode Island / No/ Edwin Pacheco Evaluate Third Party Managers of the Endowment / Yes / Member of a board committee with management or supervisory functions / / Evaluate investments / Start Date Appointed No / No / Start Date 07/05/2016
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-06-06 |
| S63 | Uniform Securities Agent State Law Examination | 1991-09-18 |
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