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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 | 2024-02-13 |
| CO | RA | APPROVED | 2024-02-12 |
| NJ | RA | APPROVED | 2022-02-17 |
Branch Locations
1285 Avenue Of The Americas 20Th Floor, New York, NY 10171 • United States
Lincoln Harbor 1000 & 1200 Lincoln Harbor Blvd, Weehawken, NJ 07086 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Asset Management | New York | NY | 09/2015 | 02/2021 |
| Ubs Financial Services Inc. | Weehawken | NJ | 03/2021 | Present |
1) Christ Church Rye; Organization- Foundation; Principal Business Activity - Church; Role -volunteer, christ church investment committee; Duty -quarterly meeting to review the investments within $3 million foundation; Receive Compensation-No. /// 2) Name of Business: MAKERS./ Address; 770 Broadway New York New YorkUnited States 100003./ Investment Related: No./ Nature: media company focused on empowering women across industry./ Role: Advisor or advisory group member if advice given may influence an officer/board./ Duty: "? Serve as chair of the selection process for MAKERS members within UBS ? Provide unbiased insights and ideas from an expert point of view ? Encourage and support the exploration of new business ideas ? Act as a resource for executive women leaders when needed ? Explore business challenges and opportunities in the marketplace" Start Date; 1/1/2022./ Time Required: yes.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 2017-08-09 |
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