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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 | 2018-02-21 |
| CA | RA | APPROVED | 2008-11-17 |
Branch Locations
200 Spectrum Center Drive Suite 1800, Irvine, CA 92618 • 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 | Irvine | CA | 11/2008 | Present |
1)ORANGE COUNTY, CALFORNIA TREASURER'S ADVISORY COMMITTEE / 11 CIVIC CENTER PLAZA, G76 SANTA ANA, CA 92701 / APPOINTED BY JOHN MOORLACH, CHAIRMAN OF OC BD OF SUPERVISORS / UNPAID ADVISORY COMMITTE (USUALLY 6-8 PEOPLE) FOR THE INVESTMENT POLICIES OF THE COUNTY TREASURER / START DATE 01/20/2009 2) Lincoln Club of Orange County (California)/ 1621 Alton Parkway, Irvine 92606 CA/ Member of Board of directors/ "I have been asked to serve as the Club's Treasurer. That Treasurer's office is largely symbolic. My role will be to review the monthly financial statements prepared by staff and the outside auditor/bookkeeper. Then, I report the club's financial condition to the Board of Directors each month. In addition, I would help prepare annual budgets. I will NOT be writing checks.I will NOT be authorizing expenditures. Funds will NOT be held here at UBS"/ start date: 4/1/2021
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1983-01-10 |
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