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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 | 2003-03-06 |
Branch Locations
100 Crescent Court Suite 600, Dallas, TX 75201 • United States
1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES
100 Crescent Court, Dallas, TX 75201 • United States
Dallas, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Plano | TX | 02/1996 | Present |
Carreras Townhomes Condominium / 4830 Cedar Springs Road Dallas,Texas 75219 / Other/ Other HOA / President of HOA - no financial activity, that is handled by Summerset Properties / Member of Board of directors / / President of the HOA along with two other board members - we will be the direct contact with the management company that oversees the property. Meeting 4 times per year with one annual meeting with the 48 homeowners. Make decisions on landscaping, trash pickup, painting and most items under normal home ownership. / Start Date 3/28/2019
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-11 |
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