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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 |
|---|---|---|---|
| OK | RA | APPROVED | 1999-07-06 |
| TX | RA | APPROVED | 1991-01-01 |
Branch Locations
Galleria Financial Center 5065 Westheimer Road, Ste 1000, Houston, TX 77056 • United States
750 Town And Country Blvd Suite 400, Houston, TX 77024 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Houston | TX | 01/1991 | Present |
Carnegie Vanguard High School Baseball Booster Club; 816 Tulane, Houston, Texas 77007; High school baseball booster club; Voluntary organization to support sports program; Fund raising and financial support of baseball program; Member of a committee with management / supervisor functions; President; Start date: 6/1/2024
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-26 |
| S63 | Uniform Securities Agent State Law Examination | 1987-03-11 |
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