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CRD 1208610
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 | 2024-01-16 |
| VT | RA | APPROVED | 2024-01-16 |
| NC | RA | APPROVED | 2021-11-24 |
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED_RES | 2008-08-18 |
Branch Locations
1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • United States
Palm Beach, FL • United States
525 Okeechobee Blvd Suite 1500, West Palm Beach, FL 33401 • United States
Manchester, VT • United States
New York, 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 |
1. LOWERRE PARTNERS LP. THIRD AVE, N.Y., N.Y. NOT INVESTMENT RELATED. BUSINESS - LIMITED PARTNERSHIP. TITLE - MANAGING PARTNER. TITLE - 06/05/1995. 1 HR/MONTH. DUTIES - MAKE INVESTMENT DECISION FOR THE PARTNERSHIP. 2. LAV-COR AGRICULTURE. THIRD AVENUE, N.Y., N.Y. YES - INVESTMENT RELATED. BUSINESS - OWNS AND OPERATES A WINERY. TITLE - PRESIDENT. DATE - 03/01/1999. 10 HRS/MONTH. DUTIES - SET STRATEGIC GOALS FOR THE GENERAL MANAGER OF THE WINERY. MONITOR PROGRESS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 1983-12-08 |
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