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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 |
|---|---|---|---|
| KS | RA | APPROVED | 2024-01-11 |
| MO | RA | APPROVED | 2024-01-10 |
| NY | RA | APPROVED | 2021-10-26 |
| NJ | RA | APPROVED | 2021-04-14 |
| TX | RA | APPROVED_RES | 2021-04-14 |
Branch Locations
299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • 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 |
|---|---|---|---|---|
| J.P Morgan Securities Llc. | New York | NY | 03/2011 | 04/2021 |
| Ubs Financial Services, Inc. | New York | NY | 04/2021 | Present |
investment committee , missouri United States , Other the nelson atkins museum of art Other fine art quarterly reviews and meetings on how the museum endowment fund is invested through Cambridge group out of houston, tx. , Advisor or advisory group member if advice given may influence an officer/board investment oversight., Start date 9/8/2026
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1994-11-30 |
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