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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 | 2017-02-22 |
| GA | RA | APPROVED | 2012-10-19 |
Branch Locations
600 Northpark Town Center 1200 Abernathy Road Suite 1850, Atlanta, GA 30328 • 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. | Atlanta | GA | 10/2012 | Present |
1)EXECUTOR / I AM A CO-EXECUTOR/ ALPHARETTA, GA 30005 / I AM A CO-EXECUTOR ON A CLIENTS ESTATE/ START DATE 11/26/2012 - 12/26/2013 / 15 HRS, 2)ROSEN ESTATE / NEW YORK,NEW YORK 10028-0134 / ESTATE ACCOUNT / ACTING AS EXECUTOR OF ROSEN ESTATE / EXECUTOR / TO LIQUIDATE AND DISTRIBUTE MS ROSENS ESTATE PER HER WILL / START DATE 11/27/2012. 3) Virginia Donovan Estate, Probating Virginia Donovan Estate, Advisor or advisory group member if advice given may influence an officer/boardexecutor, start date-8/4/2021, White Plains NYUnited States-10605.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-07 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-30 |
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