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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 | 2025-11-23 |
| IL | RA | APPROVED | 2016-04-07 |
Branch Locations
One North Wacker Drive Ste 3300, Chicago, IL 60606 • 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. | Chicago | IL | 04/2016 | Present |
1) American Civil Liberties Union of Illinois/Roger Baldwin Foundation of ACLU, Inc. / United States / 150 North Michigan Avenue, Suite 600 / Chicago / IL / United States / 60601 / https://www.aclu-il.org/en/about/about-us / No / Other / The ACLU of Illinois (ACLU), and its affiliated Roger Baldwin Foundation (RBF), are non-partisan, non-profit organizations dedicated to protecting the liberties guaranteed by the U.S. Constitution, the state Constitution, and state/federal human rights laws. The ACLU accomplishes its goals through litigating, lobbying and educating the public on a broad array of civil liberties issues. / Education / Education and Advocacy / Active / Advisor or advisory group member if advice given may influence an officer/board / Member of Budget, Audit, and Investment Committee / Start Date 11/01/2017 /// 2) DAREJOR 211 LLC / 1335 NE 13 AVENUE FORT LAUDERDALE,FL 33304 / TRUST/ REAL ESTATE / REAL ESTATE PURCHASED / LLC MANAGING MANAGER / START DATE 06/20/2012 /// 3) DAREJOR 837 LLC / 37 NE 26TH STREET WILTON MANORS,FL 33305 / TRUST/ REAL ESTATE / REAL ESTATE / OTHER / MANAGING MANAGER OF LLC / COLLECT RENT / START DATE 06/19/2012 /// 4) DAREJOR LLC / 5570 NE 28TH AVENUE FT LAUDERDALE,FL 33308 / REAL ESTATE / REAL ESTATE RENTAL / SOLE PROPRIETORSHIP / MAINTAIN PROPERTY / START DATE 06/17/2013 /// 5) NOVA SE UNIVERSITY / DAVIE UNITED STATES,FLORIDA / MEMBER OF AMBASSADOR BOARD / BRING OTHERS TO LEARN ABOUT NOVA SE U / START DATE 3/13/2014 /// 6) 1516 NW 4TH ST. FT LAUD FL / 1516 NW 4TH ST FT LAUD,FL 33311 / SOLE PROPRIETORSHIP/ REAL ESTATE / REAL ESTATE / SOLE PROPRIETORSHIP / START DATE 11/11/2010 /// 7) DAREJOR2410 LLC / 2410 NW 14TH STREET FORT LAUDERDALE,FL 33311 / OTHER/ REAL ESTATE / RENTAL / LLC MANAGING MANAGER / OVERSEE / START DATE 11/12/2014 /// 8) Extraordinary WOmen Leading Change / 401 East Las Olas Blvd Fort Lauderdale,Florida 33301 / Association (i.e., Trade or Industry, Sport...)/ Education / Promoting women in business / Advisor or member of an advisory committee, if the advice given will or may influence the board or other senior management or supervisory board of the organization in question / Assistance in promoting women / Start Date 5/2/16 /// 9) Darejor 71 LLC / 71 NE 45 Street Fort Lauderdale,FL 33334 / Other/ Real Estate / Rental real estate / Officer / / manage real estate / Start Date LLC 5/2/16 /// 10) Cogswell Innovation / 2433 East Oakland Park Blved Oakland Park,FL 33307 / Privately Held / Start Date 03/20/2017 /// 11) Take me Seriously Inc / 5570 NE 28th Avenue Fort Lauderdale,Florida 33308 / Company/ Charities, Cultural, Educational & Political Organisations / To educate teenagers about the dangers of bullying / Officer / Help organize other agencies to help educate other teens / Start Date 3/1/2017 /// 12) Investment Council of the Evanston Community Foundation; Evanston, IL 60201; Foundation; Charity; At the Evanston Community Foundation, we are dedicated to fostering positive change and growth in our vibrant community that is rooted in justice and equity. We stand committed to making Evanston an even better place to live, work, and thrive- For Now, Forever, and For Everyone. It takes initiative to lead a community where it wants to go. Step one is settling on the goal - and that takes a lot of what we offer: listening, synthesizing and consensus-building. We're engaging our community, making grants, training leaders, connecting people and organizations, while we tackle challenges and explore opportunities.; I am a Community Representative on the Investment Council that advises the Board of Directors for the Evanston Community Foundation.; Review reports detailing the holdings and performance of the investment portfolio for the endowment of the Evanston Community Foundation. Help identify appropriate changes to the overall allocation and assets held in the endowment.; Start date: 4/1/2016
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 2009-03-20 |
| S65 | Uniform Investment Adviser Law Examination | 1999-11-01 |
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