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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 | 2010-09-10 |
| FL | RA | APPROVED | 1987-03-12 |
Branch Locations
12800 University Drive Suite 500, Fort Myers, FL 33907 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Ft. Myers | FL | 05/1985 | Present |
SUSAN WATTS / 16774 PANTHER PAW COURT FORT MYERS,FL 33908 / AUTHOR/SEEKING PUBLICATION OF BOOKS /I HAVE WRITTEN A FICTIONAL BOOK AND THREE OTHER RELATED FICTIONAL BOOKS, ONE PREQUEL AND TWO SEQUELS, AND WOULD LIKE TO PURSUE HAVING THEM PUBLISHED OR POSSIBLY SELF PUBLISHIING THE BOOKS. THEY DO NOT INVOLVE ANY TYPE OF INVESTMENT ADVICE OR INVESTMENT RELATED ACTIVITY OR ADVICE./ START DATE 10/28/2013 /
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1987-04-10 |
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