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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2014-12-17 |
| TX | RA | APPROVED | 2006-11-20 |
| NJ | RA | APPROVED | 2002-05-03 |
Branch Locations
140 Broad Street Suite 100, Red Bank, NJ 07701 • United States
1800 North Military Trail Suite 300, Boca Raton, FL 33431 • United States
Rumson, NJ • 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. | Red Bank | NJ | 02/1981 | Present |
Self Employed / 10 somerset Dr. Rumson, NJ 07760 / United States / acting in commercials and small parts in film and TV rumson / acting / No / No / Start Date 10/10/2019 / The College of NJ Investment Society,Talking to student on the fundamentals of investing and how I became an advisor.,New JerseyUnited States,an occasional teacher to the investment club,Start date 4/29/2026
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-07-27 |
| S63 | Uniform Securities Agent State Law Examination | 1981-03-25 |
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