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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2023-04-18 |
| NY | RA | APPROVED | 2021-10-26 |
| NJ | RA | APPROVED | 2017-10-20 |
Branch Locations
2200 Georgetowne Drive 6Th Floor, Suite 600, Sewickley, PA 15143 • United States
1285 Avenue Of The Americas Floor 15 Thru 18, New York, NY 10019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential Investment Management Services | Newark | NJ | 09/2015 | 02/2017 |
| Prudential Insurance Company Of America | Newark | NJ | 09/2015 | 02/2017 |
| Prudential Investments Llc | Newark | NJ | 09/2015 | 02/2017 |
| Ubs Financial Services Inc. | Sewickley | PA | 08/2017 | Present |
| Unemployed | New York | NY | 02/2017 | 08/2017 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-03-28 |
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