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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2024-05-20 |
| NY | RA | APPROVED | 2024-01-05 |
| TX | RA | APPROVED | 2024-01-05 |
Branch Locations
299 Park Ave 26Th Floor, New York, NY 10171 • United States
1285 Avenue Of The Americas 38Th Floor, New York, NY 10019 • United States
Jupiter, FL • United States
Remsenburg, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 11/2013 | Present |
College of Mount Saint Vincent / RIverdale Avenue Riverdale,,NY 10471 / Other/ Education / Four year college / Other / Investment Committee Member / Review Merrill Lynch's Investment consultant's recommendations and performance / Start Date 8/11/2015 / one hour per quarter 2)Kappa Beta Phi / c/o The Insider 401 East 34th St Suite S17J,New York 10016 / Association (i.e., Trade or Industry, Sport...)/ Other Strictly social / One dinner per year strictly social / Other / Annual dinner committee / nominate new members; approve dues, plan annual dinner that is strictly social: no business is discussed / Start Date 6/29/15 /
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-03-18 |
| S63 | Uniform Securities Agent State Law Examination | 1983-10-06 |
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