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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 | 2019-11-05 |
| CO | RA | APPROVED | 2017-09-11 |
Branch Locations
One Union Square, Chattanooga, TN 37402 • United States
Sparta, TN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc | Cookeville | TN | 03/2014 | 08/2017 |
| Raymond James Financial Services Advisors Inc. | Cookeville | TN | 10/2014 | 08/2017 |
| Genesis House, Inc. | Cookeville | TN | 10/2014 | 08/2017 |
| Luna & Herren Investment Group | Cookeville | TN | 02/2014 | 08/2017 |
| Ubs Financial Services | Denver | CO | 09/2017 | Present |
Short Term Rental Property- 6885 Monterey Hwy, Sparta TN,TNUnited States,Short Term Rental Property,Real Estate,Short Term Rental Property,Proprietor / owner,My husband and I purchased a house that we have made into a short term rental, Start date -3/9/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-10-19 |
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