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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2023-01-27 |
| TX | RA | APPROVED_RES | 2023-01-05 |
| NY | RA | APPROVED | 2023-01-03 |
Branch Locations
1285 Avenue Of The Americas 19Th Floor, New York, NY 10019 • United States
600 Washington Blvd 9Th Floor, Stamford, CT 06901 • 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 |
|---|---|---|---|---|
| Morgan Stanley | New York | NY | 08/2009 | 01/2023 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 01/2023 |
| Ubs Financial Services Inc. | New York | NY | 01/2023 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-09-29 |
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