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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 | 2023-02-28 |
| NY | RA | APPROVED | 2023-02-07 |
| CT | RA | APPROVED | 2019-12-23 |
| TX | RA | APPROVED_RES | 2010-03-21 |
Branch Locations
1285 Avenue Of The Americas Floor 15 Thru 18, New York, NY 10019 • United States
100 West Putnam Avenue 2Nd Floor, Greenwich, CT 06830 • United States
Nantucket, MA • United States
801 Laurel Oak Drive Suite 201, Naples, FL 34108 • United States
Naples, 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. | New York | NY | 03/1995 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 1986-05-08 |
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