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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2025-01-27
UT RA APPROVED 2024-09-13
TX RA APPROVED 2004-03-25
  • OK RA
    APPROVED
    Since 2025-01-27
  • UT RA
    APPROVED
    Since 2024-09-13
  • TX RA
    APPROVED
    Since 2004-03-25

Branch Locations

Yukon, OK • United States

4801 Gaillardia Pkwy. Suite 100, Oklahoma City, OK 73142 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Oklahoma City OK 01/2011 Present
Other Businesses

Shannon McIntire Skin Care / 14511 Ella Gate Court, Humble, TX 77396 / United States / www.shannonmcintire.com / No / Company / Services (Business, Professional, Support) / Skin care treatments and products / Advisor or advisory group member if advice given may influence an officer/board / Give general business advice to owner / Start Date 7/30/2018 / No / No

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-03-24
  • S66 Uniform Combined State Law Examination
    2004-03-24

View on SEC IAPD

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