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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 |
|---|---|---|---|
| SC | RA | APPROVED | 2021-09-29 |
| TX | RA | APPROVED | 2015-11-16 |
Branch Locations
4400 Post Oak Parkway Suite 1700, Houston, TX 77027 • United States
Kiawah Island, SC • 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 | 11/2015 | Present |
Tight Lines Interests, LLC / 225 Seven Farms Drive #207 Charleston,SC 29492 / Other/ Real Estate / Personal LLC to invest in direct residential real estate / Other / Managing Member / Managing the personal LLC / Start Date 6/14/16 LLC /
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-12 |
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