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  1. Important Note: FINRA, one of the U.S. broker dealer regulators, is enacting a new rule that requires all transactions in a brokerage account be reported to FINRA CAT with a unique identifier. That identifier must be a government issued number (FTIN, Driver s License Number, Passport Number, Other Government-issued ID). The compliance date for this regulation is May 31, 2024. If you are outside the United States and unable to supply your identifier upon website login once the functionality is enabled (which will be prior to May 31, 2024), you may contact the UBS Service Center for any account assistance, access to account documentation and for any CAT related questions.
  1. Employee ID should include 8 digits. Please be sure to add leading zeros for an 8-digit employee ID entry. (Example: ID 12345 = 00012345)
View FINRA BrokerCheck Information