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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 | 2026-03-16 |
Branch Locations
1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • United States
555 California Street 33Rd Floor, San Francisco, CA 94104 • 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. | New York | NY | 11/2018 | 08/2023 |
| Unemployed | New York | NY | 06/2018 | 10/2018 |
| Deutsche Bank Trust Company Americas | New York | NY | 11/2017 | 05/2018 |
| Ubs Asset Management | New York | NY | 11/2016 | 10/2017 |
| Barclays | New York | NY | 04/2014 | 10/2016 |
| Rockefeller Financial Llc | New York | NY | 08/2023 | 12/2025 |
| Ubs Financial Services, Inc. | New York | NY | 03/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-04-06 |
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