UBS Financial Services Inc.
SEC-registered broker-dealer (File 00816267)
Public listing
- Legal name
- UBS Financial Services Inc.
- License or register id
- SEC File 00816267
- State
- TN
- City
- Nashville
- Category
- Broker-Dealer, Futures Commission Merchant, Broker-Dealer (dual-registered)
- Official source
- SEC Company Information About Active Broker-Dealers
Verify this record on the official source named above before you hire, fund, or rely on it. An index listing is not an endorsement, a rating, or a review. Empty phone or address means that public file did not include it.
About
UBS Financial Services Inc. is listed among active SEC-registered broker-dealers (CIK 200565, SEC file 00816267). Address fields from the SEC FOIA company information file. Ubs Financial Services Inc appears among Futures Commission Merchants on the CFTC financial data report (July 2026 FCM capital/reporting roster; registered as FCM BD; DSRO NFA). Confirm current registration status via NFA BASIC / CFTC.
How to verify
How do I verify UBS Financial Services Inc.?
Match the firm name and CRD or SEC file number on FINRA BrokerCheck or EDGAR.
What does this listing show?
The broker-dealer or securities registration from the SEC or FINRA public file.