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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 |
|---|---|---|---|
| CT | RA | APPROVED | 2023-10-10 |
| NY | RA | APPROVED | 2021-10-26 |
| FL | RA | APPROVED | 2013-03-05 |
Branch Locations
299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • United States
525 Okeechobee Blvd Suite 1500, West Palm Beach, FL 33401 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 01/1998 | Present |
30 WALL STREET APARTMENT CORPORATION 30 WALL STREET, SOUTHAMPTON,NY 11968, COOPERATIVE APARTMENT BUILDING BOARD MEMBER-ATTEND BOARD MEETINGS TWICE EACH YEAR 1 HOUR PER MONTH EFF: 1-13-09. 2)TRUST CREATED UNDER ARTICLE 4 OF THE STANLEY ROTH JR. GRANTOR TRUST / 55 SYLVAN LANE WESTON,MA 02493 / TRUSTEE / / INDEPENDENT TRUSTEE / START DATE 11/3/2014 3) Name of Organization - SIA, Principal Business Activity - DIRECTOR
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 1990-01-22 |
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