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CRD 2670307
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 |
|---|---|---|---|
| HI | RA | APPROVED | 2025-04-01 |
| ID | RA | APPROVED | 2021-05-14 |
| TX | RA | APPROVED_RES | 2009-04-06 |
| WA | RA | APPROVED | 2006-08-12 |
Branch Locations
1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES
925 Fourth Avenue 31St & 32Nd Floor, Seattle, WA 98104 • United States
Ketchum, ID • United States
Wailea, HI • United States
Seattle, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Seattle | WA | 08/2006 | Present |
1)HONAN PROPERTIES & INVESTMENTS LLC / 3445 MAGNOLIA BLVD WEST SEATTLE WA 98199 / OTHER / REAL ESTATE / REAL ESTATE BROKER / OTHER SECRETARY / PAY BILLS, HELP WITH TAXES / START DATE 01/01/2004 ///
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-04-11 |
| S63 | Uniform Securities Agent State Law Examination | 1995-12-19 |
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