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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 |
|---|---|---|---|
| TN | RA | APPROVED | 2026-06-02 |
| NC | RA | APPROVED | 2009-11-24 |
| TX | RA | APPROVED | 2009-01-29 |
Branch Locations
100 Crescent Court Suite 600, Dallas, TX 75201 • United States
Nashville, TN • United States
Banner Elk, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Plano | TX | 10/2014 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-13 |
| S63 | Uniform Securities Agent State Law Examination | 1980-03-27 |
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