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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 |
|---|---|---|---|
| TN | RA | APPROVED | 2023-03-16 |
| DC | RA | APPROVED | 2015-09-09 |
Branch Locations
800 South Gay Street Suite 2600, Knoxville, TN 37929 • United States
1700 M Street Nm 5Th Floor, Washington, DC 20036 • United States
Knoxville, TN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services, Inc. | Washington, Dc | DC | 11/2013 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 2015-07-08 |
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