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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2006-08-17 |
| MT | RA | APPROVED | 2006-08-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| U.S. Bancorp Piper Jaffray Inc. | Billings | MT | 01/2001 | Present |
| Ubs Financial Services Inc. | Billings | MT | 08/2006 | Present |
1142 GRAND LLC; 1142 Grand Ave, Billings, MT 59102; Realestate investment and develpment; Partner; Consult with partners on realestate purchases and development; 10/30/2015; Business hours per month: No // CROW PEAK LLC; 4187 Cedarwood Ln, Billings, MT 59106; Real Estate Holdings; Partner; 5/1/2015; Business hours per month: No //
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-03-29 |
| S65 | Uniform Investment Adviser Law Examination | 1996-03-28 |
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