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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 | 2016-01-26 |
Branch Locations
100 Crescent Court Suite 400, Dallas, TX 75201 • United States
Dallas, 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. | Dallas | TX | 01/2016 | Present |
Snowmass capitol peak LLC / 3518 Armstrong Ave, Dallas, Texas 75205 / United States / Partnership / Real Estate / Owns a vacation condo / Proprietor / owner / None required. Passive investment in a condo. / Investment in Company?: YES; 100% / Authority to Make Investment Decisions?: YES / Start Date 5/1/2012
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-09-21 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-03 |
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