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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 |
| NJ | RA | APPROVED | 2006-07-21 |
Branch Locations
299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • United States
New York, NY • 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 | New York | NY | 03/2014 | Present |
1. C.P Trust and Estate of C.P, Trustee of the C.P Trust and Executor of C.P Estate. If I become Trustee of the Trust I would have C.P UBS accounts moved to another UBS Financial Advisor. I was asked to name someone today and it is N.H. , As Trustee of her Trust I would execute her wishes based her instructions in the Trust document on file at UBS). As executor I would have tax filings completed as well as disburse any non Trust assets, Start date-6/10/2021, New YorkUnited States-10128
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1991-10-11 |
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