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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2021-11-29 |
| TX | RA | APPROVED_RES | 1999-11-03 |
| OH | RA | APPROVED | 1999-08-16 |
Branch Locations
600 Superior Ave E. - 27Th Floor, Cleveland, OH 44114 • United States
600 Superior Ave East 27Th Floor, Cleveland, OH 44114 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Cleveland | OH | 03/1999 | Present |
Tremont Development Corporation / 2263 West 19thClevelandOH44113 / Assist in managing the responsibilities of the homeowner's association for the community I live in. / Residential Homeowner Association / Homeowner Asociation / Membership on the board will be a 1 year term serving as President. / 7/1/2022
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-19 |
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