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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 | 2004-03-23 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
15821 Ventura Blvd Suite 670, Encino, CA 91436 • United States
15260 Ventura Boulevard Suite 1800, Sherman Oaks, CA 91403 • 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. | Encino | CA | 01/1991 | Present |
NAME OF OTHER BUSINESS: 32110 Canyon Crest Ct Westlake Village ca / INVESTMENT RELATED?: Y / ADDRESS: 32110 Canyon Crest Ct Westlake Village ca / NATURE OF THE BUSINESS: Real Estate / POSITION: Owner/ Proprietor / DUTIES: Landlord/ START DATE:1/20/2023 / HOURS DEVOTED TO BUSINESS:NA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 1987-03-05 |
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