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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-11-10 |
| CA | RA | APPROVED | 2013-12-12 |
Branch Locations
760 Sw 9Th Ave Suite 2450, Portland, OR 97205 • United States
Portland, OR • 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. | Portland | OR | 12/2013 | Present |
1. Assisted Community Ties, Assisted Community Ties is a provider organization in Washington County, Oregon that helps people make friends and learn social skills. ACT offeres community engagement in groups or one-on-one. This is from their web-sight, Portland United States-97232, I am helping my nephew who is autistic 2 times a week. I take him to and exercise class on Thursdays and to see his personal trainer on Wednesdays. I am compensated from the state of Oregon for providing care to a special needs individual. These classes are in the afternoon and do not interfere with my responsibilities at UBS, start date-10/1/2024.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-10-14 |
| S63 | Uniform Securities Agent State Law Examination | 1985-11-13 |
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