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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_RES | 2009-06-19 |
| GA | RA | APPROVED | 2009-03-03 |
Branch Locations
600 Northpark Town Center 1200 Abernathy Road Suite 1850, Atlanta, GA 30328 • United States
Gainesville, GA • 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 | Alpharetta | GA | 02/2009 | Present |
Stonewyck Community Association, Inc / 500 Sugar Mill Road, Building B, Suite 200 Atlanta,Georgia 30350 / Other/ Small neighborhood (non-profit) community association responsible for the community-owned property Real Estate / Maintenance of "commons" / Member of Board of directors / / participate in decisions to assess dues and pay expenses / Start Date 2/8/2017 / End Date 2/15/2019
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 1981-05-19 |
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