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Miles Allan Rubin

Ubs Financial Services Inc.

New York, NY

Eastport, NY

Scarsdale, NY

CRD 1135292

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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
NY RA APPROVED 2021-10-26
OK RA APPROVED 2004-11-17
TX RA APPROVED_RES 1995-01-28
  • NY RA
    APPROVED
    Since 2021-10-26
  • OK RA
    APPROVED
    Since 2004-11-17
  • TX RA
    APPROVED_RES
    Since 1995-01-28

Branch Locations

299 Park Ave 8Th, 9Th 11Th Floor, New York, NY 10171 • United States

Eastport, NY • United States

Scarsdale, NY • 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. New York NY 01/1995 Present
Other Businesses

1)Name of Organization - Drummer; Description of Business - Musical performances with Different bands; I am the drummer; Receive Compensation - Yes

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-07-28
S63 Uniform Securities Agent State Law Examination 1988-04-12
  • S65 Uniform Investment Adviser Law Examination
    1994-07-28
  • S63 Uniform Securities Agent State Law Examination
    1988-04-12

View on SEC IAPD

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