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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2026-04-17 |
Branch Locations
1285 Avenue Of The Americas 19Th Floor, New York, NY 10019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | New York | NY | 10/2010 | 04/2026 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 04/2026 |
| Ubs Financial Services Inc. | New York | NY | 04/2026 | Present |
O C L Trust, It's Living Trust of O C ( my uncle), He deceased on 1/14/2026, I am the suceesor trustee.,NY United States ,Handle trust assets and distribution based on trust agreement ,Start date 4/30/2026
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-12 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-29 |
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