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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2008-03-03 |
| TX | RA | APPROVED | 2008-02-29 |
Branch Locations
1255 Treat Blvd Suite 1000, Walnut Creek, CA 94597 • United States
San Francisco, CA • United States
555 California St 34Th, 36Th & 46Th Floors, San Francisco, CA 94104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Walnut Creek | CA | 02/2008 | Present |
HOG ISLAND OYSTER COMPANY; 20215 Highway1, Marshall, CA 94940; Oyster Farming and Oyster Bars; Member of Board of directors; 4 board meeting a years, advise on strategy; 8/1/2013; Business hours per month: No // VLAHOS BROS/ROMA APARTMENTS, LLC; 582 E. 14th St, San Leandro, Alameda, CA 94552; Real Estate Investment; Partner; asset management; 8/1/2016; Business hours per month: No
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-28 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-21 |
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