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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2026-03-24
  • NV RA
    APPROVED
    Since 2026-03-24

Branch Locations

10801 W. Charleston Blvd, Las Vegas, NV 89135 • United States

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Las Vegas NV 02/2017 01/2022
Express Las Vegas NV 05/2013 11/2017
Csaa Insurance Las Vegas NV 05/2016 10/2016
First Savings Bank Las Vegas NV 10/2016 01/2017
University Of Nevada, Las Vegas Las Vegas NV 08/2014 12/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Las Vegas NV 06/2022 08/2025
Unemployed Las Vegas NV 02/2022 05/2022
Ubs Financial Services, Inc Los Angeles CA 09/2025 Present
Previous Registrations
Other Businesses

I*103251 For profit or not for profit: For-Profit Organization Name of outside business organization: NORS Properties LLC Investment related: Y Address of business: Las Vegas, Nevada 89135 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 8/31/2018 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: I am the owner of an LLC that holds and buys residential properties. I do not have any daily responsibilities and have this in my name for asset protection reasons. Name of the other business: Allcity Lock & Safe Whether the business is investment-related- No Address of the other business- 3635 S. Fort Apache Rd suite 204, Las Vegas, NV, 89135, USA Nature of the other business- Locksmith business Your position- Managing Member Title, or relationship with the other business- Managing Member Start date of your relationship-12/20/2021 Approximate number of hours/month you devote to the other business- 0 hours Number of hours you devote/month to the other business during securities trading hours- 0 hours Briefly describe your duties relating to the other business- I have no involvement with the operations or management of this business.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-01-10
  • S66 Uniform Combined State Law Examination
    2019-01-10
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant

View on SEC IAPD

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