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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 | 2010-06-22 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
555 California St 34Th, 36Th & 46Th Floors, San Francisco, CA 94104 • United States
Orinda, 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 | 04/1985 | Present |
1) DENNIS A FILLMORE TRUST / PALM SPRINGS, CA / TRUST / OTHER I AM CO-TRUSTEE OF A DECEDENT'S TRUST / PROVIDE SUPPORT FOR THE INCOME BENFICIARY / IS THIS AN INDUSTRY SECTOR ORGANIZATION? N/A / TRUSTEE / I REVIEW THE INVESTMENTS WITH MY CO-TRUSTEE. / POTENTIAL DEALING WITH UBS? CLIENT / START DATE 03/28/2002.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-01-20 |
| S63 | Uniform Securities Agent State Law Examination | 1983-06-01 |
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