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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 |
|---|---|---|---|
| MN | RA | APPROVED | 2014-02-03 |
Branch Locations
80 South 8Th Street Suite 2900, Minneapolis, MN 55402 • United States
Richfield, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Piper Jaffray Inc. | Minneapolis | MN | 08/1981 | Present |
| Ubs Financial Services Inc. | Minneapolis | MN | 08/2006 | Present |
CROCHETING PURSES FOR SCHOOL/CHURCH BOUTIQUES - 20 HOURS PER MONTH -POSSIBLE FUNDS OVER COST AT SOME POINT./Holy Emmanuel Lutheran Church / 201 E 104th Street Bloomington,MN 55420 / Other/ Other Religious / Youth and Children's Ministry Board / Member of a committee with management or supervisory functions / / We keep track that the Director of Children's Education does not exceed her allotted working hours / Start Date 3/1/2016/Church /
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1983-07-19 |
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