Best Investors Account Sign in
Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
TX RA APPROVED_RES 2005-02-23
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2005-02-23

Branch Locations

299 Park Ave 8Th, 9Th 11Th Floor, New York, NY 10171 • United States

200 Park Avenue 30Th Floor, New York, NY 10166 • United States

New York, NY • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. New York NY 01/1995 Present
Other Businesses

1) Jack and Jill of America Foundation Inc; Washington, DC 20009; Serve on the Board of Directors in the role of Treasurer. Chair of the finance committee.; Prepare Budget with Exec Director, monitor investments, review audit report and monitor Monthly Budget figurers; Treasurer; Start date: 5/15/2012 /// 2) Single Parent Resource Center, Inc; New York, NY; Member of the Board of Directors; chair of the audit committee and member of the Development committee; Treasurer; Start date: 6/1/2010

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-09-19
S63 Uniform Securities Agent State Law Examination 1992-01-08
  • S65 Uniform Investment Adviser Law Examination
    1995-09-19
  • S63 Uniform Securities Agent State Law Examination
    1992-01-08

View on SEC IAPD

Nearby Firms

Nearby Investors

Nearby Offices

More in New York, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor