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CRD 2435640
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 |
|---|---|---|---|
| VA | RA | APPROVED | 2021-05-18 |
| TX | RA | APPROVED_RES | 2020-10-08 |
Branch Locations
805 Sw Broadway Suite 2600, Portland, OR 97205 • United States
760 Sw 9Th Ave Suite 2450, Portland, OR 97205 • United States
Bend, OR • United States
Lake Oswego, OR • United States
Mclean, VA • United States
5300 Meadows Rd Suite 300, Lake Oswego, OR 97035-3229 • 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. | Portland | OR | 11/1993 | Present |
TTJ Bend-1 LLC/ Category - Forming a LLC to hold title to a Duplex that I previously have been approved. The Duplex is the 20078 Porter Place/Principal Business Activity -Simple LLC that holds title to the Real Estate Investment/ Role - Partner/ Duty - We manage the property- UBS had already purchased the porperty. Compensation - No
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-01-21 |
| S63 | Uniform Securities Agent State Law Examination | 1994-01-19 |
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