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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2024-04-04 |
| SC | RA | APPROVED | 2023-08-16 |
| CA | RA | APPROVED | 2014-10-27 |
| TX | RA | APPROVED_RES | 2014-10-24 |
Branch Locations
15260 Ventura Boulevard Suite 1800, Sherman Oaks, CA 91403 • United States
Encino, CA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Encino | CA | 10/2014 | Present |
1) Kitten Rescue/ investment related?: no / 3519 Casitas Ave, Los Angeles, CA/ Charity/Officer/Treasurer and Founder and Board Member; fostering; event planning; policy setting and review/start date:4/1/1997
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-12-23 |
| S65 | Uniform Investment Adviser Law Examination | 1998-12-23 |
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