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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 | 2009-05-05 |
Branch Locations
100 Crescent Court Suite 600, Dallas, TX 75201 • United States
Dallas, TX • 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 | Dallas | TX | 05/2009 | Present |
1)THE DALLAS FOUNDATION / 3963 MAPLE AVENUE, STE. 390 DALLAS,TX 75219 / MAY INFLUENCE THE BOARD OR OTHER SENIOR MANAGEMENT OR SUPERVISORY BOARD OF THE ORGANIZATION IN QUESTION / START DATE 1/4/2005 2) Episcopal Foundation of Dallas, manage assets of various church-related funds, Member of Board of directors, finance committee member3/2/2017, Dallas TX United States-75244.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 1982-02-23 |
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