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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 | 2016-03-24 |
| CA | RA | APPROVED | 2016-02-24 |
Branch Locations
131 South Rodeo Drive Suite 300, Beverly Hills, CA 90212 • 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 | Beverly Hills | CA | 02/2016 | Present |
SEAK; 16 Gifford St, Suite 2, Falmouth, MA; Company; Health Care & Pharmaceuticals; educational offerings to doctors seeking non-clinical careers; Speaker; do a one-time Zoom video presentation; Start date: 12/19/2024
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-07-02 |
| S63 | Uniform Securities Agent State Law Examination | 2001-08-01 |
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