Best Investors
Account
Sign in
Best Investors
Account
Sign in
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 | 2021-09-29 |
Branch Locations
4400 Post Oak Parkway 17Th Floor, Houston, TX 77027 • United States
Spring, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Houston | TX | 09/2013 | 05/2020 |
| Morgan Stanley Smith Barney Llc | Houston | TX | 05/2020 | 09/2021 |
| Ubs Financial Services Inc | Houston | TX | 09/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-07-19 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-21 |
Reach out to this advisor