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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 |
|---|---|---|---|
| MI | RA | APPROVED | 2022-09-26 |
| IL | RA | APPROVED | 2017-10-27 |
Branch Locations
One North Wacker Drive Ste 3300, Chicago, IL 60606 • United States
Nunica, MI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sentinus, Llc | Oak Brook | IL | 07/2016 | 10/2017 |
| Sentinus Securities Llc | Oak Brook | IL | 04/2017 | 10/2017 |
| Ubs Financial Services, Inc. | Chicago | IL | 10/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-06-21 |
| S63 | Uniform Securities Agent State Law Examination | 2013-11-23 |
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