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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2012-08-21 |
| SC | RA | APPROVED | 2010-02-23 |
| TX | RA | APPROVED_RES | 2004-03-08 |
Branch Locations
100 State Street - 4Th Floor, Erie, PA 16507 • United States
Hilton Head, SC • United States
Erie, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Erie | PA | 02/1976 | Present |
1) Martin C Krause Family Trust/ investment related?: / Erie, Pennsylvania, 16507 US/ Manage Trust for the benefit of the primary beneficiary./ start date:8/25/1998 2) Name of Business: Magee Women's Research Institute & Foundation./ Address; 3240 Craft Place, Suite 100 Pittsburgh PA United States 15213./ Investment Related: No./Nature: Clinical research into women's health from birth to death./ Role: Member of Board of directors./ Duty: Advisory Board member./ Start Date: 9/1/2023./ Time Required: no.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-11-06 |
| S63 | Uniform Securities Agent State Law Examination | 1985-12-07 |
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