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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2021-11-09 |
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED_RES | 2006-09-08 |
| OK | RA | APPROVED | 1998-07-07 |
Branch Locations
299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • United States
Riegelsville, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 02/1996 | Present |
P. M.-B. Trust; review trades, payments, investments; New York, New York; Start date: 2005-10-03
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-07-15 |
| S63 | Uniform Securities Agent State Law Examination | 1985-05-31 |
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