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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 | 2010-12-17 |
| CA | RA | APPROVED | 2009-03-18 |
Branch Locations
555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States
Mill Valley, CA • 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. | San Francisco | CA | 03/2009 | Present |
1. St. Mary's Star of The Sea Churchreligious services, Advisor or advisory group member if advice given may influence an officer/board, I am a member of the church's finance committee that meets every other month to discuss the financial situation of the church. Along with five other parishioners we advise the Pastor on financial matters involving mostly church maintenance. There is no board of directors and I don't deal with any monetary responsibilities, ie. I don't have access or responsibility with the church checking account. It's simply a advisor role to the Pastor, start date-2/4/2019Sausalito CAUnited States-94965.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-06-18 |
| S63 | Uniform Securities Agent State Law Examination | 1982-04-30 |
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