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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 | 2019-08-19 |
| IL | RA | APPROVED | 2006-07-28 |
Branch Locations
1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • United States
Highland Park, IL • 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. | Chicago | IL | 11/1997 | Present |
LEGACY CLUB HOMEOWNER'S ASSOCIATION / HIGHLAND PARK ILLINOIS 60035 / OTHER / REAL ESTATE / MAINAIN LANDSCAPING OF 35 SINGLE FAMILY HOMES / MEMBER OF BOARD OF DIRECTORS / ATTEND MEETINGS / START DATE 09/01/2003/Hybernia Club Homeowners' Association / 1314 N Rand Rd. Arlington Heights,Illinois 60004 / Association (i.e., Trade or Industry, Sport...)/ Real Estate / Maintain and manage landscaping and ponds. / Member of Board of Directors / / Maintain and manage landscaping and ponds. / Start Date 6/1/2015 /
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-07-27 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-20 |
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