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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-11-09 |
| FL | RA | APPROVED | 2020-11-09 |
| TX | RA | APPROVED_RES | 2016-04-21 |
Branch Locations
1285 Avenue Of The Americas 15 Thru 18Th Floors, New York, NY 10019 • United States
Long Beach, NY • United States
Boca Raton, FL • United States
401 East Las Olas Boulevard Las Olas Centre, Ft. Lauderdale, FL 33301 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 04/2009 | Present |
NAME OF OTHER BUSINESS: fairway oaks homeowners association / INVESTMENT RELATED?: N / ADDRESS:fiarway oaks, Fl_ / NATURE OF THE BUSINESS: Accountancy & Audit / POSITION: Member of Board of directors/ DUTIES:attend board meetings/ START DATE: 01/01/2023/ HOURS DEVOTED TO BUSINESS:NA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-10-21 |
| S63 | Uniform Securities Agent State Law Examination | 1983-11-30 |
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