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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-11-14 |
Branch Locations
1000 & 1200 Harbor Boulevard, Weehawken, NJ 07086 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Manasquan | NJ | 07/2006 | 10/2022 |
| Rockefeller Financial Llc | Hamilton | NJ | 10/2022 | 09/2023 |
| Ubs Financial Services | Aberdeen | NJ | 10/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-07-30 |
| S63 | Uniform Securities Agent State Law Examination | 1998-12-03 |
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