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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 | 2025-02-24 |
| WI | RA | APPROVED | 2025-02-17 |
| IL | RA | APPROVED | 2024-10-16 |
| VA | RA | APPROVED | 2023-09-06 |
| TX | RA | APPROVED_RES | 2009-03-05 |
| NC | RA | APPROVED | 2009-02-13 |
Branch Locations
317 W. Barbee Chapel Road, Chapel Hill, NC 27517 • United States
Morehead City, NC • United States
Durham, NC • 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 | Durham | NC | 01/2009 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-02 |
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