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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED_RES | 2010-10-25 |
Branch Locations
1285 Avenue Of The Americas Floor 15 Thru 18, New York, NY 10019 • United States
3 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 | New York | NY | 10/2010 | Present |
190 EAST 190 CORP / 190 E 72 ST NEW YORK, NY 10021 / OTHER / REAL ESTATE / MANAGING THE BUILDING / IS THIS AN INDUSTRY SECTOR ORGANIZATION? NO / MEMBER OF BOARD OF DIRECTORS / MANAGING THE BUILDING / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONS ON BEHALF OF THE COMPANY? NO/ START DATE 06/01/2010.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-10-29 |
| S63 | Uniform Securities Agent State Law Examination | 1979-07-12 |
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