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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2026-04-23 |
| VT | RA | APPROVED | 2026-04-22 |
| TX | RA | APPROVED_RES | 2013-09-25 |
| CT | RA | APPROVED | 2002-11-01 |
Branch Locations
Mendon, VT • United States
2 Union Plaza, New London, CT 06320 • United States
East Lyme, CT • 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 London | CT | 10/2002 | Present |
CONSULTING FOR MY FATHER'S BUSINESS (SAYBROOK COUNSELING CENTER) 1. SAYBROOK COUNSELING CENTER 841 MIDDLESEX TURNPIKE OLD SAYBROOK,CT 06475 2. DRUG & ALCOHOL, AND GENERAL COUNSELING 3. CONSULTING 4. ACCOUNTING ADVISOR, RETIREMENT PLANNING,FINANCIAL SERVICES CONSULTING 5. (5) HOURS/WEEK APPROXIMATELY 6. NO
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-07-03 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-08 |
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