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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2023-12-04 |
| TX | RA | APPROVED_RES | 2011-05-19 |
| GA | RA | APPROVED | 2004-01-14 |
Branch Locations
3560 Lenox Road Ne Suite 2800, Atlanta, GA 30326 • United States
Cashiers, NC • United States
Atlanta, GA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Atlanta | GA | 01/2004 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-09 |
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