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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2008-04-04 |
Branch Locations
6100 Fairview Road 9Th Floor, Charlotte, NC 28211 • United States
Charlotte, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Charlotte | NC | 04/2008 | Present |
NAME OF OTHER BUSINESS: Landlord / INVESTMENT RELATED?: No / ADDRESS: Brighton condo 2005 Myrtle Beach SC / NATURE OF THE BUSINESS: Real Estate Rental / POSITION: Owner / DUTIES: Rent / START DATE: 8-18-2022 / HOURS DEVOTED TO BUSINESS:
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-09-06 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-26 |
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