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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 |
|---|---|---|---|
| CO | RA | APPROVED | 2021-09-07 |
| IL | RA | APPROVED | 2016-04-25 |
Branch Locations
One North Wacker Drive Ste 3300, Chicago, IL 60606 • United States
370-17Th Street, Denver, CO 80202 • United States
Denver, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Chicago | IL | 02/2016 | Present |
1)- NAME OF OTHER BUSINESS: Ponce LLC - INVESTMENT RELATED?: Yes - ADDRESS:1099 18th Street, Denver,CO 80202, US - NATURE OF THE BUSINESS:Partnership/Real Estate - POSITION: Member of a committee with management / supervisor functions - DUTIES: Assist in maintaining the family owned property and managing expenses for the property - START DATE:12/31/2020 - HOURS DEVOTED TO BUSINESS: n/a
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 2013-04-01 |
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