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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 | 2021-12-07 |
Branch Locations
100 Se 2Nd Street 27Th Floor, Miami, FL 33131 • United States
Hialeah, FL • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Miami | FL | 06/2010 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Miami | FL | 11/2016 | 05/2019 |
| Unemployed | North Bay Village | UT | 06/2019 | 06/2021 |
| Ubs Financial Services | Miami | FL | 06/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 2010-03-29 |
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