UBS FINANCIAL SERVICES INC.
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UBS FINANCIAL SERVICES INC.
(CRD# 8174)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Weehawken, NJ.
The SEC approved the firm to operate as an RIA in
Jan 1971.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$496.0 Billion,
with discretion over
46%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
2%
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UBS FINANCIAL SERVICES INC.
also reported in
Mar 2019
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13335
employees,
with
10409
performing advisory functions.
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A total of 370 office locations.
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Registration with one or more foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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UBS FINANCIAL SERVICES INC. has one or more disclosure events currently on file with the SEC.
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UBS FINANCIAL SERVICES INC. has Notice Filings with the following State Securities Authorities:
AK-Aug 1991, AL-Jul 1991, AR-Jun 1991, CA-Jul 1997, CO-Jan 1999
, CT-Jul 1997, DC-Feb 1995, DE-Sep 2003, FL-Sep 1986, GA-Sep 1991
, HI-Oct 1991, IA-Jan 1999, ID-Sep 1991, IL-Sep 1989, IN-May 1989
, KS-Aug 1997, KY-Jan 2004, LA-Oct 2001, MD-Jul 1991, ME-Jan 2002
, MI-Mar 2010, MN-May 1989, MO-May 1989, MS-Aug 1997, MT-Nov 1997
, NC-Mar 2001, ND-May 1989, NE-Jul 1997, NH-Sep 1986, NJ-Apr 1993
, NM-Feb 1992, NV-Dec 1990, NY-Jan 1974, OH-Aug 1999, OK-Jan 1998
, PA-Nov 2005, PR-Mar 2018, RI-Jan 1993, SC-Jul 1989, SD-Aug 1991
, TN-Jul 1997, TX-Dec 1970, UT-Sep 1991, VA-Feb 1989, VI-May 2007
, VT-Jan 1995, WA-Apr 1990, WI-Jan 1996, WV-Jun 1991
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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