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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2025-02-06 |
| TX | RA | APPROVED_RES | 2023-10-02 |
| NY | RA | APPROVED | 2021-10-26 |
| NJ | RA | APPROVED | 2017-11-22 |
Branch Locations
299 Park Ave 26Th Floor, New York, NY 10171 • United States
2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • United States
Franklin Lakes, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 02/2005 | Present |
| Ubs Financial Services Inc. | 299 Park Avenue, 25 Fl, 26 Fl & 40Fl | NY | 07/2016 | Present |
1) Name of Business: Lester M Hallman Jr. Estate. /Address: 3 Shinnecock Trail Franklin Lakes New Jersey United States 07417,/ Investment Related: No./ Nature: Distribution of estate./ Role: Co-administrator./ Duty: To distribute estate./ Start Date: 9/9/2022./ Hours Devoted: No./ Time Required: N/A.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-11-21 |
| S63 | Uniform Securities Agent State Law Examination | 2004-01-09 |
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