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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 |
|---|---|---|---|
| ME | RA | APPROVED | 2020-10-06 |
| TX | RA | APPROVED_RES | 2015-05-11 |
| CA | RA | APPROVED | 2015-03-20 |
Branch Locations
555 California St 34Th, 36Th & 46Th Floors, San Francisco, CA 94104 • United States
Bridgton, ME • 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 | 03/2015 | Present |
NA / MARKET ST SF,CA 94104 / UC BERKLEY/ NON PROFIT / USD / START DATE 4/22/2015 2)the Great Bailey Island Land co / 48 Scott lane Bridgton,MAINE 04009 / Other/ Financial (Consumer & Investment Services) / RE and Investment / Partner / / partner / Start Date 7/17/2015
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-05-21 |
| S63 | Uniform Securities Agent State Law Examination | 1982-10-22 |
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