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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 |
|---|---|---|---|
| ID | RA | APPROVED | 2021-12-23 |
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED_RES | 1989-01-23 |
Branch Locations
1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • United States
New York, NY • 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. | New York | NY | 01/1989 | Present |
NYSE AND NASD ARBITRATION. NEW YORK CITY. NOT INVESTMENT RELATED. BUSINESS - ARBITRATOR FOR THE NASD/NYSE. TITLE - ARBITRATOR. START DATE - 01/01/1975. 4 HRS/MONTH. DUTIES - ARBITRATOR.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-04-06 |
| S63 | Uniform Securities Agent State Law Examination | 1979-07-11 |
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