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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 | 2021-07-29 |
| TX | RA | APPROVED_RES | 2014-06-26 |
| MN | RA | APPROVED | 2014-02-04 |
Branch Locations
444 Cedar St, St Paul, MN 55101-2108 • United States
Naples, FL • United States
Comstock, WI • 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. | St Paul | MN | 08/2006 | Present |
MERICAN LAND & CAPITAL, LLC / 7300 METRO BLVD. #300 EDINA, MN 55439 / RESIDENTIAL CONSTRUCTION CAPITAL / PROVIDING CAPITAL TO RESIDENTIAL CONSTRUCTION / PARTNER / START DATE 05/16/2012 . 2. Pipe Lake Cabin (PLC LLC), Wi United States-54826, LLCReal Estate, LLC holds our family cabin, Proprietor / owner, cabin or second home owner, 6/1/2015, Investment related-Yes. 3. South Beach LLCUnited States, outlot on Pipe Lake in Comstock Wi United States-54826, LLCReal Estate, Unbuildable Out Lot on a lake, Proprietor / owner, no duties just holding land in an LLC, start date-6/1/2015, Investment related-Yes.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 1985-01-23 |
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