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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 | 2024-09-03 |
| FL | RA | APPROVED | 2023-06-02 |
| NJ | RA | APPROVED | 2023-01-03 |
| NY | RA | APPROVED | 2021-10-26 |
Branch Locations
299 Park Avenue 8Th,9Th And 11Th Floor, New York, NY 10171 • United States
Fair Haven, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services | New York | NY | 10/2006 | Present |
CO-TRUSTEE OF THE CATHERINE B. KENNEDY RESIDUARY TRUST
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-06-21 |
| S63 | Uniform Securities Agent State Law Examination | 1987-06-29 |
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