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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 | 2019-10-07 |
| IL | RA | APPROVED | 2011-03-21 |
Branch Locations
1 Tower Lane-Ste 1700 Oakbrook Terrace Tower, Oakbrook Terrace, IL 60181 • United States
1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services | Chicago | IL | 06/2010 | Present |
1) Name of Business; Urban Initiatives./ Address: 650 W Lake Street Unit 340 ChicagoIL United States 60661./ Investment Related: No./ Nature: An organization that is focused on uniting communities of Chicago through youth programs that teach social emotional skills through play./ Role: Associate Board Member./Duty: The Associate Board is a group of young professionals dedicated to volunteering, raising awareness and funds to support Urban Initiatives./ Start Date: 9/1/2019./ Time Required: No.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-03-19 |
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