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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 | 2022-02-01 |
| TX | RA | APPROVED | 2022-01-17 |
Branch Locations
100 South East Second Street Suite 2340, Miami, FL 33131 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Jacksonville | FL | 04/2013 | 01/2022 |
| Ubs Financial Services | Coral Gables | FL | 01/2022 | Present |
I*536 For profit or not for profit: Name of outside business organization: Rental Property Owner Investment related: Address of business: Fontana, California 92236 Nature of business: , Position, title, association: , Start date of relationship: 40770 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 Duties: Reportable - Rental Property - Reported to U4 Status: APPRVD
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 1998-12-07 |
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