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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 |
|---|---|---|---|
| IN | RA | APPROVED | 2021-08-03 |
| KY | RA | APPROVED | 2021-08-03 |
| FL | RA | APPROVED | 2021-07-19 |
Branch Locations
8801 River Crossing Blvd Suite 400, Indianapolis, IN 46240-4609 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Indianapolis | IN | 03/2013 | 05/2021 |
| J.P. Morgan Chase Bank, Na | Indianapolis | IN | 01/2017 | 05/2021 |
| Ubs Financial Services Inc | Indianapolis | IN | 05/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-07-16 |
| S63 | Uniform Securities Agent State Law Examination | 2007-10-26 |
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