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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 | 2020-01-21 |
Branch Locations
6100 Fairview Road 9Th Floor, Charlotte, NC 28277 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch | Kalamazoo | MI | 01/1994 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Kalamazoo | MI | 01/1994 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-05-10 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-26 |
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