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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 | 2021-11-08 |
| FL | RA | APPROVED | 2021-10-29 |
| GA | RA | APPROVED | 2021-10-28 |
| CA | RA | APPROVED | 2021-10-27 |
| CO | RA | APPROVED | 2021-10-27 |
| CT | RA | APPROVED | 2021-10-27 |
| OH | RA | APPROVED | 2021-10-27 |
| PA | RA | APPROVED | 2021-10-27 |
| NJ | RA | APPROVED | 2017-07-10 |
| TX | RA | APPROVED | 2017-07-10 |
Branch Locations
61 South Paramus Road 4Th Floor, Paramus, NJ 07652 • United States
Upper Saddle River, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, Na | Montvale | NJ | 08/1999 | 07/2017 |
| Ubs Financial Services | Paramus | NJ | 07/2017 | Present |
City Coast Trust; I do not expect any duties unless the grantors both die.; New York, New York; Start date: 11/23/2021
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-02-29 |
| S63 | Uniform Securities Agent State Law Examination | 2000-02-04 |
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