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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2024-08-12 |
Branch Locations
San Antonio, TX • United States
Promenade One 17802 Ih 10 W Suite 210, San Antonio, TX 78257 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Austin | TX | 08/2016 | 07/2020 |
| Wells Fargo Clearing Services, Llc | San Antonio | TX | 07/2020 | 03/2024 |
| Ubs | San Antonio | TX | 08/2024 | Present |
| Unemployed | San Antonio | TX | 04/2024 | 08/2024 |
NOTARY PUBLIC, NOT INVT RELATED, SAN ANTONIO, TX, NOTARY, START DATE 1/13/2023, 1 HR PER MONTH, 0 HRS DURING TRADING, NOTARIZE DOCUMENTS. Kimberly Lewis, Austin TX United States-78701, Public Notary, Issuing Notary licenses, Texas Secretary of state, Public Notary independent, start date-1/1/2025.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-12-08 |
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