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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-26 |
| TX | RA | APPROVED | 2021-01-04 |
Branch Locations
58 South Service Road Suite 310, Melville, NY 11747 • United States
Lindenhurst, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Melville | NY | 09/2010 | 01/2021 |
| Ubs Financial Services Inc. | Melville | NY | 01/2021 | Present |
1.15 SUMMER SET DRIVE, LLC/.INVESTMENT RELATED: y/321 N DELAWARE AVENUE,LINDENHURST, NEW YORK 1175/Real Estate/Proprietor / owner/.collect monthly rental income/start date: 12/18/2012/NUMBER OF HOURS DEVOTED: 30 HOUR(S) ANNUALLY/NUMBER OF HOURS DEVOTED DURING TRADING HOURS:no
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-05 |
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