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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2011-09-16 |
| TX | RA | APPROVED | 2011-09-15 |
Branch Locations
1200 Prospect Street Suite 100, La Jolla, CA 92037 • United States
San Diego, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | La Jolla | CA | 09/2011 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-08-08 |
| S63 | Uniform Securities Agent State Law Examination | 1995-12-20 |
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