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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 |
|---|---|---|---|
| ME | RA | APPROVED | 2021-10-28 |
| FL | RA | APPROVED | 2021-10-19 |
| TX | RA | APPROVED | 2009-01-30 |
Branch Locations
One Monarch Place Suite 720, Springfield, MA 01144 • United States
Kennebunkport, ME • United States
Springfield, MA • 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 | Springfield | MA | 01/2009 | Present |
Town of Wilbraham / Wilbraham United States,Massachusetts / No/ Selectmen 6/1/2016 Advisory finance board / No / Advisor or member of an advisory committee, if the advice given will or may influence an officer or board of a governmental entity / / Advisory to town meeting on towns budget / Start Date Appointed No / No
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-04-09 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-17 |
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