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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2021-10-18 |
| MN | RA | APPROVED | 2013-12-09 |
| TX | RA | APPROVED_RES | 2012-12-03 |
Branch Locations
444 Cedar St, St Paul, MN 55101-2108 • United States
Lake Elmo, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Piper Jaffray Inc. | St Paul | MN | 08/1995 | Present |
| Ubs Financial Services Inc. | St Paul | MN | 08/2006 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-11-01 |
| S63 | Uniform Securities Agent State Law Examination | 1995-10-25 |
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