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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 | 2014-09-11 |
| OH | RA | APPROVED | 2014-09-09 |
| TX | RA | APPROVED_RES | 2014-09-09 |
Branch Locations
3601 Rigby Road Suite 500, Miamisburg, OH 45342 • United States
Sarasota, FL • 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. | Centerville | OH | 09/2014 | Present |
1)BUSINESS OR ACTIVITY NAME: RANDY AND CANDI PROPERTIES LLC - ENGLEWOOD RENTAL FOR PROFIT OR NOT FOR PROFIT: FOR PROFIT INVESTMENT RELATED: (YES OR NO) NO ADDRESS OF BUSINESS: 8581 AMBERJACK CIR., UNIT 302, ENGLEWOOD, FL 34224 NATURE OF BUSINESS: PROPERTY OWNER YOUR POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 2010 NUMBER OF HOURS DEVOTED PER MONTH: 1 NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 0 YOUR DUTIES: MAINTAIN PROPERTY FOR RENT. 2)BUSINESS OR ACTIVITY NAME: RANDY AND CANDI PROPERTIES LLC - OHIO FOR PROFIT OR NOT FOR PROFIT: PROFIT INVESTMENT RELATED: (YES OR NO) NO ADDRESS OF BUSINESS: 4389 ST. RT. 725 BELLBROOK, OH 45305 NATURE OF BUSINESS: PROPERTY OWNER YOUR POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 2005 NUMBER OF HOURS DEVOTED PER MONTH: 1 NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 0 YOUR DUTIES: MAINTAIN PROPERTY FOR RENT. 3) Name of Business: Summercove condominium association./ Address; 1600 summerhouse ln sarasota fl United States34242./ Investment Related: No./ Nature: president./ Role: Officer./ Duty: oversee property./ Start Date: 2/14/2023./ Hours Devoted: No./ Time Required: No. 4) Dayton Urban Younglife, Teaching teens how to have a relationship with God,Advisor or advisory group member if advice given may influence an officer/board, help oversee finances, start date-1/20/2014, DaytonOhio United States-45440. 5) R2H2 properties, own manage real estate, Partner, discuss properties, start date-3/12/2019, centerville ohio United States-45459
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-04-22 |
| S63 | Uniform Securities Agent State Law Examination | 1980-10-16 |
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