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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 | 2021-10-27 |
| TX | RA | APPROVED_RES | 2003-09-02 |
| IL | RA | APPROVED | 2003-04-09 |
Branch Locations
1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • United States
Chicago, IL • United States
Delray Beach, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Chicago | IL | 01/1995 | Present |
1) Name of Business: Leslie Hefter Article 3 GST./ Address: 161 E. Chicago Avenue apt 44B Chicago IL United States 60611./ Investment Related: No./ Nature: investment in stocks and bonds./ Role: Advisor or advisory group member if advice given may influence an officer/board./ Duty: Financial Advisor./ Start Date: 11/1/2023./ Time Required: No.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-03-13 |
| S63 | Uniform Securities Agent State Law Examination | 1991-10-17 |
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