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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2022-10-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Inc. | Miami | FL | 02/2002 | 05/2019 |
| Ubs Financial Services.INc | Miami | FL | 03/2020 | Present |
| Unemployed | Miami | FL | 06/2019 | 02/2020 |
Entity Name: Rental Properties Investment related: Yes Address: 10 Jersey City, NJ; 372 Florida NY Nature of the other business: 4 Rental units Position/Title/Relationship: Sole Proprietor Start Date: 03-Jan-2011 Approximate # of hours a month: 4 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Landlord 4 RENTAL UNITS. NOT INVESTMENT RELATED. LANDLORD JANUARY 2006 8 HRS NO HRS DURING TRADING RENT AND MAINTAIN UNITS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-08-31 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-18 |
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