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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_RES | 2024-08-26 |
| CA | RA | APPROVED | 2002-02-13 |
Branch Locations
305 Lytton Avenue, Palo Alto, CA 94301 • United States
2800 Sand Hill Road Suite 100, Menlo Park, CA 94025 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Security Capital Markets Group Incorporated | San Francisco | CA | 10/1998 | Present |
| Ubs Financial Services Inc. | Menlo Park | CA | 01/2002 | Present |
AUTHOR / I WRITE NOVELS / PORTOLA VALLEY , CA 94028 / PRIVATELY HELD / START DATE 10/03/2011.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-05 |
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