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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 | 2016-12-19 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
555 California St 34Th, 36Th & 46Th Floors, San Francisco, CA 94104 • United States
San Francisco, 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 | 07/1986 | Present |
ARC Studios & Gallery, St San Francisco CA United States , Retailers (Apparel, Food, General) , COmmunity oriented artist studios and gallery , Partner , I curate some of the exhibitions. I maintain the website in connection with this investment. I assist my wife as needed. , Start date 11/15/2009
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 1983-05-23 |
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