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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-01-24 |
| CA | RA | APPROVED | 2012-12-03 |
Branch Locations
555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States
Moraga, CA • 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 | San Francisco | CA | 11/2012 | Present |
William T. Brown Estate / CA 94556 / Trust/ Financial (Consumer & Investment Services) / Collect, Manage and Distribute assets of the Estate / Trustee / / Collect, Manage and Distribute Assets of William T. Brown / Start Date 6/23/2015
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-03-31 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-14 |
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