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UBS FINANCIAL SERVICES INC.

dba UBS FINANCIAL SERVICES INC. · CRD 8174 · Registered Investment Adviser

Criminal disclosureRegulatory disclosureCivil/Other disclosure

UBS FINANCIAL SERVICES INC. is a Registered Investment Adviser headquartered in WEEHAWKEN, NJ. The firm reports $915,793,138,114 in regulatory assets under management across 1,144,309 accounts. It reports 23 Form ADV Item 11 disciplinary disclosure(s) (Criminal, Regulatory, Civil/Other).

Regulatory assets under management

Discretionary$402,983,233,661
Non-discretionary$512,809,904,453
Total RAUM$915,793,138,114
Accounts1,144,309

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 23 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)Yes
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)Yes

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 8174. adviserinfo.sec.gov/firm/summary/8174.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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