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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 | 2026-02-27 |
| CA | RA | APPROVED | 2026-02-26 |
| TX | RA | APPROVED_RES | 2026-02-26 |
| NJ | RA | APPROVED | 2024-09-11 |
| NY | RA | APPROVED | 2023-05-18 |
| CT | RA | APPROVED | 2022-05-09 |
Branch Locations
600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States
Yorktown Heights, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| State Street Global Advisors Funds Distributors Llc | Stamford | CT | 07/2016 | 02/2019 |
| State Street Bank And Trust | Boston | MA | 07/2016 | 01/2017 |
| State Street Global Advisors Trust Company | Stamford | CT | 07/2016 | 02/2019 |
| Ubs Financial Services Inc. | Stamford | CT | 01/2021 | Present |
| Unemployed | Yorktown | NY | 03/2019 | 12/2020 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-05-09 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-13 |
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