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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 | 1996-09-13 |
Branch Locations
4400 Post Oak Parkway 17Th Floor, Houston, TX 77027 • United States
4400 Post Oak Parkway 9Th Floor, Houston, TX 77027 • 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 | 09/1996 | Present |
The Council on Recovery / Hope, Healing and recovery for people with substance abuse problems303 Jackson Hill St.houstontexasUnited States77007 / I am on the board of trustees of the organization / 1/3/2022
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1993-06-24 |
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