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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2002-09-23
CA RA APPROVED 1999-09-20
  • TX RA
    APPROVED_RES
    Since 2002-09-23
  • CA RA
    APPROVED
    Since 1999-09-20

Branch Locations

2029 Century Park East Suite 3000, Century City, CA 90067 • United States

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Century City CA 08/1999 Present
Other Businesses

1. University of Southern California Marshall School Masters in Business for Veterans, "As an Executive Partner, you will be called upon to support the MBV program in a variety of ways. This includes serving as an adviser to the program, providing mentorship to our students and facilitating valuable networking and relationship-building opportunities. Additionally, one of the most important roles of the Executive Partner includes being available to students for informational interviews. Executive Partner participation involves a combination of face-to-face and virtual interactions with our students. This is a very important moment in the careers of our students as they begin the transition from the military to the civilian workforce. Having the opportunity to engage with Executive Partners is essential to their success. We are mindful of the day-to-day priorities and demands of high-level executives like yourself; therefore, we highly value the commitment that you are making to support the MBV program.", start date-11/1/2024Los Angeles CAUnited States-90089. 2)Craft Contemporary,?Founded as a museum in 1973, Craft Contemporary reveals the potential of craft to educate, captivate, provoke, and empower. With a focus on contemporary art made from craft media and processes, Craft Contemporary presents dynamic exhibitions by established and emerging artists and designers who are often underrepresented in larger art institutions. Craft Contemporary complements these exhibitions with a creative line-up of educational programs, including hands-on workshops led by professional artists. Craft Contemporary cultivates an environment for people in Los Angeles to deepen their relationship to art, creativity, and one another.5814 Wilshire BlvdLos AngelesCAUnited States90036https://www.craftcontemporary.org/Member of the Board of TrusteesNo4/13/2026

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-10-12
S63 Uniform Securities Agent State Law Examination 1987-07-02
  • S65 Uniform Investment Adviser Law Examination
    1992-10-12
  • S63 Uniform Securities Agent State Law Examination
    1987-07-02

View on SEC IAPD

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