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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 | 2025-01-06 |
| CA | RA | APPROVED | 2025-01-03 |
| TX | RA | APPROVED | 2024-08-26 |
| NJ | RA | APPROVED | 2023-11-02 |
| NY | RA | APPROVED | 2023-11-01 |
Branch Locations
1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • United States
61 South Paramus Road 4Th Floor, Paramus, NJ 07652 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Investment Bank | New York | NY | 08/2010 | Present |
1. SavaNet LLC, Manhasset New YorkUnited States-11030, Company, Information Technology, Financial modeling, Advisor or advisory group member if advice given may influence an officer/board, Advisor position, START DATE-9/2/2024.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-11-01 |
| S63 | Uniform Securities Agent State Law Examination | 1995-08-15 |
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