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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 |
|---|---|---|---|
| IL | RA | APPROVED | 1997-09-22 |
| TX | RA | APPROVED_RES | 1995-01-28 |
Branch Locations
1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • 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. | Chicago | IL | 01/1995 | Present |
1)KAREN V. SMITH TRUST UW RUTHETTA KRAUSE RICHARD M. HELD TRUSTEE-NO ORGANIZATION ADDRESS-1 HOUR PER MONTH EFF: 10-30-08.2)CYNTHIA L. MANNING TRUST UW RUTHETTA KRAUSE RICHARD M. HELD TRUSTEE-NO ORGANIZATION ADDRESS-1 HOUR PER MONTH-EFF: 10-29-08.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-03-03 |
| S63 | Uniform Securities Agent State Law Examination | 1980-10-16 |
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