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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 |
|---|---|---|---|
| DC | RA | APPROVED | 2023-05-03 |
| IL | RA | APPROVED | 2020-03-12 |
Branch Locations
1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Chicago | IL | 08/2017 | Present |
| University Of Illinois Champaign-Urbana-Student | Champaign | IL | 08/2013 | 05/2017 |
1) Name of Business: Clare Prendergast./ Address: 8944 S Pleasant AveChicagoIllinois United States 60643./ Investment Related: No./ Nature: Looking to disclose passive income-- Amazon Product Review./ Role: This is not a role for a company/employer. This is small scale Amazon Retail Product Reviews./ Duty: Amazon Product Review./ Start Date: 3/21/2023./ Time Required: No.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-03-12 |
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