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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 |
|---|---|---|---|
| PA | RA | APPROVED | 2023-12-04 |
| NY | RA | APPROVED | 2021-10-26 |
| NJ | RA | APPROVED | 2019-06-19 |
| NC | RA | APPROVED | 2017-09-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services, Inc. | Charlotte | NC | 06/2017 | Present |
| University Of North Carolina At Chapel Hill | Chapel Hill | NC | 06/2013 | 06/2017 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-09-11 |
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