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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 | 2022-08-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Denver | CO | 12/2017 | 05/2018 |
| Dugan's Dog House, Llc | Aurora | CO | 03/2016 | 06/2017 |
| Raymond James Financial Services, Inc | Tyler | TX | 05/2018 | 01/2019 |
| Southside Bank | Tyler | TX | 04/2018 | 01/2019 |
| Raymond James Financial Services Advisor Inc | Tyler | TX | 05/2018 | 01/2019 |
| Jpmorgan Chase Bank, N.A. | Tyler | TX | 02/2019 | 05/2019 |
| J.P. Morgan Securities Llc | Tyler | TX | 02/2019 | 05/2019 |
| Wells Fargo Clearing Services Llc | Denver | CO | 01/2018 | 05/2018 |
| Destination Pet | Aurora | CO | 06/2017 | 02/2018 |
| Wells Fargo Clearing Services Llc | Tyler | TX | 05/2019 | 06/2022 |
| Charles Schwab | Westlake | TX | 06/2022 | 08/2022 |
| Ubs Financial | New York | NY | 08/2022 | Present |
SHERRY'S FARM; NOT INVESTMENT RELATED; REKLAW,TX; 100% OWNERSHIP WITH SPOUSE; START DATE 12/01/2020; NUMBER OF HOURS PER MONTH 20; NUMBER OF HOURS DURING TRADING 0; PERSONAL FARM. 2) Name of Business: Bread of Life Community Church. / Address: 760 N Main StReklaw, Texas, United States, 75784. / Investment Related: No. / Nature: Will attend quarterly board meetings, help make decisions for the church. / Role: Member of Board of directors. / Duty: assist with decisions for the church. / Start Date: 4/2/2023. / Hours Devoted: No. / Time Required: N/A.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-06-26 |
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