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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2022-02-08 |
| FL | RA | APPROVED | 2021-10-13 |
| NY | RA | APPROVED | 2021-08-12 |
| TX | RA | APPROVED_RES | 2013-06-07 |
Branch Locations
Boca Raton, FL • United States
1800 North Military Trail Suite 300, Boca Raton, FL 33431 • 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 | 11/2013 | Present |
1. Charleston Place Home Owners Association, Inc. (HOA), Boca RatonFL United States, Association (e.g. Trade or Industry, Sport), Home Owners Association Board responsible for overseeing our community, Home Owners Association Board for my development, Member of a committee with management / supervisor functions, I have been nominated as Treasurer for the HOA, but all 5 board members will be authorized to sign or approve checks, start date-3/24/2025.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-30 |
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