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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2024-09-05 |
| WY | RA | APPROVED | 2024-09-05 |
| FL | RA | APPROVED | 2024-08-12 |
| NJ | RA | APPROVED | 2024-08-12 |
| CT | RA | APPROVED | 2024-08-09 |
| IA | RA | APPROVED | 2024-08-09 |
| PR | RA | APPROVED | 2024-08-09 |
| SD | RA | APPROVED | 2024-08-09 |
| TX | RA | APPROVED | 2024-08-09 |
| NY | RA | APPROVED | 2023-12-05 |
Branch Locations
100 Se 2Nd Street 27Th Floor, Miami, FL 33131 • United States
1285 Avenue Of The Americas 19Th Floor, New York, NY 10019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Switzerland Ag | Zurich | 07/2016 | 05/2022 | |
| Ubs Financial Services | New York | NY | 05/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-07-10 |
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