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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 | 2023-05-25 |
| MN | RA | APPROVED | 2014-01-21 |
| TX | RA | APPROVED_RES | 2006-08-12 |
Branch Locations
80 South 8Th Street Suite 2900, Minneapolis, MN 55402 • 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. | Minneapolis | MN | 06/1993 | Present |
Name of Organization - DeLaSalle High School1 DeLasalle DriveMinneapolis, MN 55401/ Principal Business Activity - Serve on Investment Committee drafting Investment Policy Statement for Endowment Funds/ Role - Investment committee member/ Comp - No
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-11-02 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-08 |
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