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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2026-04-22 |
| NY | RA | APPROVED | 2026-04-17 |
Branch Locations
299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 01/2023 | 11/2024 |
| Doordash | New York | NY | 05/2020 | 09/2021 |
| Mackenzie Partners, Inc | New York | NY | 04/2021 | 11/2021 |
| Alliant Insurance Services, Inc. | New York | NY | 12/2021 | 12/2022 |
| Mirae Asset Securities (Usa) Inc. | New York | NY | 06/2022 | 07/2022 |
| Archbishop Molloy High School | Briarwood | NY | 09/2015 | 06/2019 |
| Manhattan College | Bronx | NY | 09/2019 | 05/2023 |
| Bank Of America, N.A. | New York | NY | 02/2024 | 11/2024 |
| Rockefeller Financial Llc | New York | NY | 11/2024 | 04/2026 |
| Ubs Financial Services Inc | New York | NY | 04/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-11-17 |
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