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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 |
|---|---|---|---|
| IN | RA | APPROVED | 2013-06-24 |
| MI | RA | APPROVED | 2013-04-03 |
| TX | RA | APPROVED_RES | 2013-04-01 |
Branch Locations
Cassopolis, MI • United States
2575 East Camelback Road Suite 900, Phoenix, AZ 85016 • United States
4330 Edison Lakes Parkway Suite B, Mishawaka, IN 46545 • United States
Phoenix, AZ • 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. | Phoenix | AZ | 04/2013 | Present |
1)MORGAN MAXWELL LLC / 6901 N. HIGHLANDS DRIVE PARADISE VALLEY,AZ 85253 / OTHER FAMILY ESTATE PLANNING / PARTNER / START DATE 12/1/2004/ 2)STONECREEK LLC / 2240 HIGH MEADOW SOUTH NILES,MI 49120 / PARTNERSHIP/ REAL ESTATE / FARMLAND / START DATE 8/11/1998 3)NORTHRISE UNIVERSITY INITIATIVE / PO BOX 18823 IRVINE,CA 92623 / FOUNDATION/ UNIVERSITY / RAISE FUNDING FOR UNIVERSITY / MEMBER OF BOARD OF DIRECTORS / / ATTEND TWO BOARD MEETINGS PER YEAR / START DATE 2/1/2015
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-04 |
| S63 | Uniform Securities Agent State Law Examination | 1982-01-05 |
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