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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-12-02 |
| CT | RA | APPROVED | 2017-02-17 |
| NJ | RA | APPROVED | 2015-11-20 |
| TX | RA | APPROVED | 2015-11-20 |
Branch Locations
299 Park Ave 26Th Floor, New York, NY 10171 • United States
600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States
Greenwich, CT • 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. | New York | NY | 11/2015 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 1992-06-03 |
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