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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2023-07-10 |
| CA | RA | APPROVED | 2023-07-07 |
| CT | RA | APPROVED | 2023-07-07 |
| HI | RA | APPROVED | 2023-07-07 |
| NJ | RA | APPROVED | 2023-07-07 |
| NY | RA | APPROVED | 2023-07-07 |
Branch Locations
1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Republic Investment Management | New York | NY | 11/2011 | 04/2017 |
| First Republic Securities Company, Llc | New York | NY | 10/2013 | 04/2017 |
| First Republic Securities Company, Llc | New York | NY | 04/2017 | Present |
| First Republic Investment Management, Inc. | New York | NY | 04/2017 | 07/2023 |
| Ubs Financial Services Inc | New York | NY | 07/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-12-03 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-11 |
| S65 | Uniform Investment Adviser Law Examination | 1992-10-14 |
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