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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2009-04-21 |
Branch Locations
750 Town And Country Blvd Suite 400, Houston, TX 77024 • United States
2 disclosure categories 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 | Houston | TX | 04/2009 | Present |
BAUER FLP / 11306 INNISFREE HOUSTON,TX 77024 / PARTNERSHIP/ OTHER FLP / INVESTMENTS / PARTNER / / INVESTMENT DECISIONS / START DATE 11/1/2007 Bauer 2012 LLC/ Category-Partnership/ Principal Business Activity-None at this time/ Role -Partner/ Duty - Investments/ Comp -No
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-12-04 |
| S65 | Uniform Investment Adviser Law Examination | 1995-09-18 |
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