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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 | 2021-10-27 |
| NY | RA | APPROVED | 2021-10-26 |
| NJ | RA | APPROVED | 2020-10-21 |
Branch Locations
299 Park Ave 26Th Floor, New York, NY 10171 • United States
New Canaan, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sanford C. Bernstein | New York | NY | 08/2010 | 08/2020 |
| Ubs Financial Services Inc. | New York | NY | 10/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-02-04 |
| S63 | Uniform Securities Agent State Law Examination | 2011-04-04 |
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