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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 |
|---|---|---|---|
| IL | RA | APPROVED | 2026-03-25 |
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 |
|---|---|---|---|---|
| Jp Morgan Securities Llc | Chicago | IL | 11/2016 | 09/2020 |
| Jp Morgan Chase Bank | Chicago | IL | 11/2016 | 09/2020 |
| Community Tax Llc | Chicago | IL | 11/2015 | 11/2016 |
| J.P. Morgan Institutional Investments Inc. | Chicago | IL | 09/2020 | 02/2026 |
| J.P. Morgan Investment Management, Inc. | Chicago | IL | 09/2020 | 02/2026 |
| Ubs Financial Services, Inc | Chicago | IL | 02/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2018-02-16 |
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