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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 |
|---|---|---|---|
| OK | RA | APPROVED | 2005-01-05 |
| TX | RA | APPROVED_RES | 1998-06-29 |
| IL | RA | APPROVED | 1997-09-22 |
Branch Locations
1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • United States
One North Wacker Drive Suite 2500, Chicago, IL 60606 • United States
Hinsdale, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Chicago | IL | 05/1993 | Present |
1) Sadie George LLC/ investment related?; yes/ 568 Mountain Village Blvd, Unit 419/ Mountain Village, CO, 81435/ Real Estate/ Proprietor / owner/ We own this house and will manage as a normal homeowner/ start date: 2/25/2021/ time reqd during working hours?; Yes
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-10-05 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-25 |
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