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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 |
|---|---|---|---|
| NH | RA | APPROVED | 2024-08-20 |
| TX | RA | APPROVED_RES | 2024-08-20 |
| CO | RA | APPROVED | 2023-10-05 |
| CT | RA | APPROVED | 2010-08-26 |
Branch Locations
8 Wright Street, Westport, CT 06880-4701 • United States
Durango, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Westport | CT | 08/2010 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 1987-01-30 |
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