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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 |
|---|---|---|---|
| TN | RA | APPROVED | 2025-07-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 06/2018 | 02/2020 |
| Northwestern Mutual Investment Services Llc | Nashville | TN | 12/2018 | 02/2020 |
| Bar Taco | Nashville | TN | 05/2016 | 08/2017 |
| Legacy Lending | Nashville | TN | 05/2017 | 08/2017 |
| University Of Tennessee | Knoxville | TN | 08/2017 | 05/2018 |
| Nashville United Soccer Academy | Nashville | TN | 07/2019 | 09/2020 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 08/2019 | 02/2020 |
| Helion Group | Nashville | TN | 09/2020 | 01/2021 |
| Unemployed | Nashville | TN | 03/2020 | 06/2020 |
| Bar Taco | Nashville | TN | 06/2020 | 09/2020 |
| Ubs Financial Services Inc | Wilmington | TN | 02/2021 | 09/2024 |
| Goldman Sachs & Co. Llc | New York | NY | 10/2024 | 06/2025 |
| Ubs Financial Services Inc. | Chattanooga | TN | 07/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-04-20 |
| S63 | Uniform Securities Agent State Law Examination | 2019-07-18 |
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