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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 | 2025-06-02 |
Branch Locations
100 Se 2Nd Street 27Th Floor, Miami, FL 33131 • United States
Miami, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Miami | FL | 04/2010 | 10/2021 |
| J.P. Morgan Securities Llc | Miami | FL | 04/2022 | 05/2025 |
| Unemployed | Miami | FL | 01/2022 | 03/2022 |
| Jpmorgan Chase Bank, N.A. | Miami | FL | 04/2022 | 05/2025 |
| Wells Fargo Advisors | Miami | FL | 04/2010 | 12/2021 |
| Ubs Financial Services | Miami | FL | 05/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-08 |
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