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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2003-01-28 |
| FL | RA | APPROVED | 1995-02-01 |
Branch Locations
101 East Kennedy Boulevard, Suite 1800, Tampa, FL 33602 • United States
100 South Ashley Drive Suite 1800, Tampa, FL 33602 • United States
Tampa, FL • 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. | Tampa | FL | 01/1995 | Present |
Museum of Science and Industry / 4801 E Fowler Ave Tampa,FL 33617 / Other/ Other Museum / science education in community / Member of Board of Directors / / board member / Start Date 8/18/2010 / a few hours a month for meetings
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-03-23 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-07 |
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