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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 | 2012-03-23 |
| OH | RA | APPROVED | 2004-07-20 |
Branch Locations
8044 Montgomery Road, Ste. 10 The Towers At Kenwood, Cincinnati, OH 45236 • United States
The Towers At Kenwood 8044 Montgomery Road, Cincinnati, OH 45236 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Cincinnati | OH | 07/2004 | Present |
1. Christy A Ochs Rev Trus, Investment for retirement, Advise on investments, start date-6/23/1999, Cincinnati Ohio United States-45249.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 1987-07-10 |
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