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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2025-01-06 |
| IL | RA | APPROVED | 2022-06-21 |
| FL | RA | APPROVED | 2022-06-08 |
| PA | RA | APPROVED | 2022-06-08 |
| CT | RA | APPROVED | 2022-06-07 |
| OK | RA | APPROVED | 2022-06-07 |
| RI | RA | APPROVED | 2022-06-07 |
| NY | RA | APPROVED | 2021-10-26 |
| NJ | RA | APPROVED | 2010-06-02 |
| TX | RA | APPROVED_RES | 1993-05-06 |
Branch Locations
1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • 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 | 03/1992 | Present |
1. Archdiocese of Newark, Pension board guides the administration of the Archdiocese of Newark's pension plans, Member of investment committeereview investment choices with the committee within the pension plan, start date-1/1/2020, NewarkNew Jersey United States-07104.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-14 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-30 |
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