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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 | 2022-05-24 |
| IL | RA | APPROVED | 2022-05-10 |
Branch Locations
Lake Forest, IL • United States
5 Revere Drive 1 Northbrook Place, Northbrook, IL 60062 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| State Street Global Advisors Funds Distributors, Llc | Chicago | IL | 04/2018 | 03/2022 |
| State Street Global Advisors Trust Company | Chicago | IL | 11/2015 | 04/2018 |
| State Street Global Advisors Trust Company | Chicago | IL | 04/2018 | 03/2022 |
| Ubs Financial Services Inc. | Northbrook | IL | 04/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-05-04 |
| S63 | Uniform Securities Agent State Law Examination | 2018-05-30 |
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