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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2001-04-20 |
| TX | RA | APPROVED_RES | 2001-03-21 |
Branch Locations
131 South Rodeo Drive Suite 300, Beverly Hills, CA 90212 • 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. | Beverly Hills | CA | 03/2001 | Present |
PEPPERDINE UNIVERSITY / 24255 PACIFIC COAST HWY MALIBU,CA. 90263 / OTHER/ EDUCATION / EDUCATION / MEMBER OF BOARD OF DIRECTORS / BOARD MEMBER PEPPERDINE UNIVERSITY / START DATE 03/01/2013 - / LUNCH MEETINGS Young Catholic Professionals / United States / Dallas Tx,United States youngcatholicprofessionals.org / Boardmember / Active / Advise the managing team. / 8 / Start Date 6/1/2019 Charity No / No Name of Business: The Americo Family Trust./ Address: Meese Memory Care Unit, 604 Virginia Street Dunedin FL United States 34698./Investment Related: Yes./ Nature: Handle investments, non-operating trust./ Role: Handle investments./ Start Date: 9/27/2018./ Time Required: N/A.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 1981-06-23 |
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