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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2024-11-26 |
| MN | RA | APPROVED | 2022-09-13 |
Branch Locations
80 South 8Th Street Suite 2900, Minneapolis, MN 55402 • United States
8500 Normandale Lake Blvd., Bloomington, MN 55437 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Bloomington | MN | 08/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Bloomington | MN | 11/2016 | 09/2022 |
| Ubs Financial Services Inc. | Minneapolis | MN | 09/2022 | Present |
MINNESOTA CHOICES; NOT INVESTMENT RELATED; EAGAN,MN; CAREGIVER; START DATE 09/08/2021; NUMBER OF HOURS PER MONTH 35; NUMBER OF HOURS DURING TRADING 0; ONGOING CARE FOR DAUGHTER WITH [REDACTED].; Trustee Julia Goetz Special Needs Trust Investment Related, 0 hours per month; 0 hours during trading POWER OF ATTORNEY FOR FATHER, Non INV RELATED, Eagan MN START: 11/10/2021, 20 HRS/MONTH, 0 HRS DURING TRADING.; TRUSTEE FOR FATHER, Non INV RELATED,Eagan, MN START: 11/10/2021, 20 HRS/MONTH, 0 HRS DURING TRADING.; TRUSTEE FOR FATHER'S IRREVOCABLE TRUST, Non INV RELATED, Eagan, MN , START: 3/22/2022, 25 HRS/MONTH, 0 HRS DURING TRADING. 2) The S F Irrevocable TRustI am TTEE - file taxes for the Trust and maintain bank accounts and legal matters,MNUnited States,Nonefile taxes, maintain bank account and handle legal matters, Start date -8/4/2024
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-02-24 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-29 |
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