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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 | 1995-10-31 |
Branch Locations
4400 Post Oak Parkway 9Th Floor, Houston, TX 77027 • United States
4400 Post Oak Parkway 17Th Floor, Houston, TX 77027 • United States
Horseshoe Bay, TX • United States
Houston, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Painewebber/Rotan Mosle | Houston | TX | 09/1985 | Present |
| Ubs Financial Services Inc. | Houston | TX | 07/1989 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-03-05 |
| S63 | Uniform Securities Agent State Law Examination | 1987-05-29 |
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