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Investment Adviser Firm Summary

UBS FINANCIAL SERVICES INC. (CRD# 8174 / SEC# 8-16267, 801-7163)
Alternate Names: PAINE, WEBBER, JACKSON & CURTIS INC. , PAINEWEBBER INC. , PAINEWEBBER INCORPORATED , UBS FINANCIAL SERVICES INC. , UBS PAINEWEBBER INC. , WEALTH MANAGEMENT USA

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/22/1971

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 07/01/1991
Alaska 08/14/1991
Arkansas 06/12/1991
California 07/08/1997
Colorado 01/01/1999
Connecticut 07/02/1997
Delaware 09/11/2003
District of Columbia 02/19/1995
Florida 09/10/1986
Georgia 09/03/1991
Hawaii 10/18/1991
Idaho 09/17/1991
Illinois 09/22/1989
Indiana 05/23/1989
Iowa 01/01/1999
Kansas 08/01/1997
Kentucky 01/05/2004
Louisiana 10/18/2001
Maine 01/30/2002
Maryland 07/24/1991
Michigan 03/31/2010
Minnesota 05/26/1989
Mississippi 08/15/1997
Missouri 05/17/1989
Montana 11/26/1997
Nebraska 07/31/1997
Nevada 12/14/1990
New Hampshire 09/26/1986
New Jersey 04/03/1993
New Mexico 02/07/1992
New York 01/01/1974
North Carolina 03/23/2001
North Dakota 05/26/1989
Ohio 08/09/1999
Oklahoma 01/01/1998
Pennsylvania 11/10/2005
Puerto Rico 03/30/2018
Rhode Island 01/01/1993
South Carolina 07/06/1989
South Dakota 08/29/1991
Tennessee 07/28/1997
Texas 12/01/1970
Utah 09/20/1991
Vermont 01/03/1995
Virgin Islands 05/21/2007
Virginia 02/13/1989
Washington 04/24/1990
West Virginia 06/24/1991
Wisconsin 01/30/1996

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser