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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
FL RA APPROVED 1994-04-22
  • FL RA
    APPROVED
    Since 1994-04-22

Branch Locations

1010 S. Federal Highway Suite 2601, Hallandale Beach, FL 33009 • United States

18851 Ne 29Th Avenue 11Th Floor, Aventura, FL 33180 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Aventura FL 04/1994 Present
Other Businesses

NJ PHOTOGRAPHICS. FT. LAUDERDALE, FL 33314. NOT INVESTMENT RELATED. BUSINESS - COMMERCIAL PHOTOGRAPHY. TITLE - PRESIDENT. START DATE - 01/01/1986. HOURS/MONTHS/NONE. DUTIES - NONE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-09-18
S63 Uniform Securities Agent State Law Examination 1982-08-31
  • S65 Uniform Investment Adviser Law Examination
    1992-09-18
  • S63 Uniform Securities Agent State Law Examination
    1982-08-31

View on SEC IAPD

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