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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-05-19 |
| NY | RA | APPROVED | 2023-05-18 |
Branch Locations
Lincoln Harbor 1000 & 1200 Lincoln Harbor Blvd, Weehawken, NJ 07086 • United States
1000 Harbor Boulevard, Weehawken, NJ 07086 • United States
132 Oakdale Street Staten Island New York-10308, Staten Island, NY 10308 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E*Trade Financial | Jersey City | NJ | 07/2015 | 08/2016 |
| Ubs Financial Services Inc. | Weehawken | NJ | 10/2016 | 09/2017 |
| E*Trade Securities Llc | Jersey City | NJ | 11/2017 | 02/2020 |
| E*Trade Capital Management Llc | New York | NY | 02/2020 | 05/2023 |
| E*Trade Securities Llc | New York | NY | 02/2020 | 05/2023 |
| Ubs Financial Services, Inc | Weehawken | NJ | 05/2023 | Present |
| E*Trade Capital Management Llc | Jersey City | NJ | 04/2018 | 02/2020 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-08-02 |
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