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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 |
|---|---|---|---|
| AR | RA | APPROVED | 2023-08-01 |
| IL | RA | APPROVED | 2023-07-21 |
| NC | RA | APPROVED | 2023-07-21 |
| MI | RA | APPROVED | 2023-07-19 |
| FL | RA | APPROVED | 2023-07-18 |
| ID | RA | APPROVED | 2023-07-18 |
| MT | RA | APPROVED | 2023-07-18 |
| WA | RA | APPROVED | 2023-07-18 |
| CA | RA | APPROVED | 2023-07-17 |
| IN | RA | APPROVED | 2023-07-17 |
| KS | RA | APPROVED | 2023-07-17 |
| KY | RA | APPROVED | 2023-07-17 |
| MN | RA | APPROVED | 2023-07-17 |
| SC | RA | APPROVED | 2023-07-17 |
| UT | RA | APPROVED | 2023-07-17 |
| WY | RA | APPROVED | 2023-07-17 |
| NV | RA | APPROVED | 2021-10-07 |
| CO | RA | APPROVED | 2013-02-25 |
| NE | RA | APPROVED | 2008-12-10 |
| TX | RA | APPROVED | 2008-12-05 |
Branch Locations
4600 S. Ulster Street 7Th Floor, Denver, CO 80237 • United States
Longboat Key, FL • United States
10801 W. Charleston Blvd, Las Vegas, NV 89135 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Lincoln | NE | 12/2008 | Present |
1) TAYLOR UNIVERSITY BOARD OF TRUSTEES / TAYLOR UNIVERSITY UPLAND IN 46989 / ATTEND BOARD AND RELATED COMMITTEE MEETINGS / START DATE 02/17/2010 - 02/13/2013 / 5 HRS. /// 2 )ME LIKEE LLC / 5800 HIDCOTE DRIVE, SUITE 200 LINCOLN,NE 68516 / COMPANY/ FOOD, BEVERAGES & TOBACCO / FROZEN YOGURT / PARTNER / BUSINESS DECISION MAKING / START DATE 09/01/2010 /// 3) Indiana LLC/ Category- Company/ Principal Business Activity- To obtain interest in another LLC that purchases real estate/ Role - My trust, of which I am a trustee, owns this LLC. I am the sole manager of the LLC./ Duty - All investment and operational tasks./ Comp - No, start date- 10/21/2019. 4) DocBuddy LLC / 5860 S. Clayton Court Greenwood Village, Colorado 80121 / United States / Company/ Other Technology / This company provides software to medical companies for the organization of documents/health records. / Member of Board of directors / Attend quarterly meetings to make decisions on the direction of the company. / Recieve compensation? Yes/ Ownership in busines? yes, 0.01/ Start Date 9/30/2019 /// 5) Nuggets Hoops LLC; Other; Start date: 2/19/2024 6) Advantage Flex Equipment Rental Program, PattonMOUnited States-63662, Company, Services (Business, Professional, Support), Equipment leasing rental program managed by EZ Equipment Zone LLC, Operating equipment leasing through entity as noted, passive investor, start date- 8/19/2024, financial tax efficient strategy. 7) Frisco Rental Property, Proprietor / owner, Rental Property Ownership, start date-12/6/2019, Frisco COUnited States-80443.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-07-29 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-07 |
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