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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 | 2023-11-06 |
| NC | RA | APPROVED | 2021-08-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Asheville | NC | 01/2002 | Present |
| Morgan Stanley Smith Barney | Asheville | NC | 06/2009 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | Present |
| Ubs Financial Services Inc. | Asheville | NC | 08/2021 | Present |
Rental Property; Myrtle Beach, SC; Investment related; Sole Proprietor / Owner / Partner; 03/2006; During business hours: 0; After business hours: 1
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 1985-05-31 |
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