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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_RES | 2010-01-19 |
| CA | RA | APPROVED | 2010-01-01 |
Branch Locations
600 West Broadway Suite 2800, San Diego, CA 92101 • United States
135 S. State College Blvd Suite 650, Brea, CA 92821 • United States
251 South Lake Avenue 10Th Floor, Pasadena, CA 91101 • United States
Glendora, CA • 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. | Pasadena | CA | 01/2010 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-12-27 |
| S63 | Uniform Securities Agent State Law Examination | 2001-08-22 |
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