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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 | 2024-04-17 |
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED_RES | 2010-10-13 |
Branch Locations
1285 Avenue Of The Americas Floor 15 Thru 18, New York, NY 10019 • United States
2 disclosure categories 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 | 11/2013 | Present |
Robert Willens, LLC / INVESTMENT RELATED?: NO / 110 East 59th Street, New York, NY 10022 / Accountancy & Audit / Limited Partner / Rendering advice on administrative and organizational issues / START DATE: 7/1/2022/ HOURS DEVOTED TO BUSINESS: N/A
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 1984-12-03 |
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