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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 |
|---|---|---|---|
| NV | RA | APPROVED | 2024-05-10 |
| CA | RA | APPROVED | 2024-02-14 |
| NC | RA | APPROVED | 2023-10-27 |
| WA | RA | APPROVED | 2023-09-19 |
| FL | RA | APPROVED | 2021-10-29 |
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED_RES | 2021-05-24 |
| NJ | RA | APPROVED | 2015-06-23 |
Branch Locations
299 Park Ave 26Th Floor, New York, NY 10171 • United States
1285 Avenue Of The Americas 38Th Floor, New York, NY 10019 • United States
Brooklyn, NY • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 05/2015 | Present |
1) 535 14th Avenue S LLC, St. Petersburg Florida, United States- 33701, Partnership, Real Estate, Invest in residential real estate, Member of a committee with management / supervisor functions, Manage the expenses and remodel of the home, start date- 5/23/2024, To own a secondary property in Florida. 2) The Training Lab, Group fitness instructor, Group fitness instructor, start date-4/5/2024, New YorkUnited States-10018.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-06-23 |
| S63 | Uniform Securities Agent State Law Examination | 2013-12-04 |
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