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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 | 2024-07-22 |
Branch Locations
1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Embassy Row | Los Angeles | CA | 10/2021 | 10/2022 |
| Private Family | New York | NY | 06/2020 | 01/2023 |
| Private Family | New York | NY | 03/2018 | 06/2020 |
| New York University | New York | NY | 08/2019 | 05/2022 |
| The Orchard / Sony Music | New York | NY | 10/2020 | 06/2021 |
| Riley Versa | New York | NY | 01/2019 | 08/2019 |
| Live Oak Bank | Wilmington | NC | 06/2019 | 08/2019 |
| Private Family | New York | NY | 02/2016 | 06/2019 |
| Neuberger Berman | New York | NY | 01/2023 | 07/2024 |
| Ubs Financial Services | New York | NY | 07/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-08-21 |
| S65 | Uniform Investment Adviser Law Examination | 2023-08-17 |
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