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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 | 2020-02-18 |
Branch Locations
1285 Avenue Of The Americas Floor 15 Thru 18, New York, NY 10019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley & Co., Incorporated | New York | NY | 04/1999 | Present |
| Ubs | Weehawken | NJ | 01/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-02-13 |
| S63 | Uniform Securities Agent State Law Examination | 1995-01-10 |
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