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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED | 2011-02-24 |
Branch Locations
1285 Avenue Of The Americas Floor 15 Thru 18, New York, NY 10019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 02/2011 | Present |
1. The Colony Club, private social club, Chair of the Investment Committee and Board Member, "The Investment Committee's tasks include reviewing whether the money manager is adhering to the predetermined asset allocation and risk tolerance provided by the Treasurer and Board. In conducting this review, the Investment Committee is limited to the information provided by the money manager, and does not perform any further due diligence or research. The Committee acts via consensus of its 12 members and neither the Chair nor any other member of the Committee acts as a decision maker.The Chair of the Investment Committee is automatically assigned a set on the Board, start date-6/1/2022,NYUnited States-10065.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-12-21 |
| S65 | Uniform Investment Adviser Law Examination | 1994-12-21 |
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