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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 |
|---|---|---|---|
| ID | RA | APPROVED | 2021-01-19 |
| CA | RA | APPROVED | 2005-06-21 |
Branch Locations
555 California Street 32Nd Floor/ Suite 3200, San Francisco, CA 94104 • United States
Ketchum, ID • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | San Francisco | CA | 11/2013 | Present |
1) Real Estate/Apartment rentals/ investment related?:yes / San Francisco, CA,94123/Proprietor / owner/Oversight. Zero operational responsibilities./start date:10/27/2021/
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 1985-01-30 |
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