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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 | 2025-04-25 |
| DE | RA | APPROVED | 2025-02-13 |
| VA | RA | APPROVED | 2025-01-08 |
| MD | RA | APPROVED | 2025-01-07 |
| ME | RA | APPROVED | 2024-09-27 |
| PA | RA | APPROVED | 2021-10-08 |
| TX | RA | APPROVED_RES | 2016-08-18 |
| NJ | RA | APPROVED | 2016-08-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Mount Laurel | NJ | 08/2016 | Present |
1) 209 N. 4th Street, F5/ investment related?:yes / 209 N. 4th Street, F5, Philadelphia, PA 19106/ Owner and Operator/ Own and Manage/start date 6/1/2021 2) Name of Business: Penn Athletics Sports Board - Sprint Football./ Address: Penn Athletics Sports Board - Sprint Football./ Investment Related: No./ Nature: Sports Board./ Role: Officer./ Duty: Co-Chair -- I lead conference calls./ Start Date: 9/1/2023./ Time Required: N/A.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-05-04 |
| S63 | Uniform Securities Agent State Law Examination | 2006-04-20 |
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