Ubs Financial Services Inc

CRD#8174
Investment Advisor Firm

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Learn more about Ubs Financial Services Inc

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Ubs Financial Services Inc is located at 1200 Harbor Boulevard, Weehawken, NJ. The firm employs 9,213 financial advisors to manage client portfolios and provide financial guidance. Ubs Financial Services Inc is a registered broker-dealer.

    Ubs Financial Services Inc oversees $702.4 billion in assets under management across 1,093,486 accounts, of which 429,100 are discretionary and 664,386 are non-discretionary. Over the past year, the firm has provided financial planning services to 1,121 clients. The services offered include financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters, security rating services, and educational seminars. The firm caters to a diverse range of investors, including retail investors, high net worth investors, banking institutions, pooled investment vehicles, pension plans, charitable organizations, state or municipal government entities, insurance companies, sovereign wealth funds, and corporations. High net worth investors are the largest client type by accounts. The fee structure at Ubs Financial Services Inc includes asset-based, hourly, fixed, commission-based, and other fees. The firm has 738,112 high net worth clients and maintains affiliations with a broker-dealer or securities dealer, banking or thrift institution, trust company, insurance company or agency, pension consultant, real estate broker or dealer, and commodity pool advisor.

    Ubs Financial Services Inc is registered in the states of Alabama, Alaska, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.

    Assets Under Management

    $702.4 billion

    Number of Advisors

    9,213

    Disclosures

    No

    Office Location

    1200 Harbor Boulevard
    Weehawken, NJ 07086

    Ubs Financial Services Inc by the Numbers

    Total Assets Under Management

    $702.4 billion

    National Average: $8.6 billion
    Total Number of Employees

    12,701

    National Average: 64
    Total Number of Accounts

    1,093,486

    National Average: 375,227
    Average Account Size

    $642.3 thousand

    National Average: $23.0 thousand
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    Products and Services

    Ubs Financial Services Inc provides a number of financial services, which can include financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters, security rating services, and educational seminars. In the prior financial year, Ubs Financial Services Inc provided 1121 of its accounts with financial planning services. It is engaged in selling products or offering services other than investment advice to its customers.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

    • Offered by 3% of firms

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Offered by 6% of firms

      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Fees for financial advisory services usually depend on the type of services provided. Fees charged by Ubs Financial Services Inc likely include any blend of the following fee structures: asset-based, hourly, fixed, commission-based, or other. The firm does participate in a wrap fee program, in which the company offers a bundle of services for a comprehensive fee.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 21% of firms

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Offered by 1% of firms

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Offered by 10% of firms

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

    Unavailable

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

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    Types of Clients

    The firm works with a broad range of investors. The company works with retail investors, high net worth investors, banking institutions, pooled investment vehicles, pension plans, charitable organizations, state or municipal government entities, insurance companies, sovereign wealth funds, corporations, and other. Out of its 11 clients, Ubs Financial Services Inc's biggest client type by number of accounts is high net worth investors, though it also manages money for 738112 high-net-worth individuals. A high-net-worth individual is defined by the SEC as a person who has at least $750,000 in AUM or a net worth of more than $1,50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 67.5%
    • Other Individuals - 28.13%
    • Corporations - 3.71%
    • Charitable Organizations - 0.65%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Ubs Financial Services Inc does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Ubs Financial Services Inc

    John Cullinane
    Stamford, CT
    Edward Wiederspiel
    Charlotte, NC
    Lauren Epstein
    Fort Lauderdale, FL
    Manda Cash
    Cincinnati, OH
    Alfred Lobo
    Palm Beach Gardens, FL
    Kirk Johnson
    Durango, CO
    Sophie Abrams
    Sherman Oaks, CA
    Matthew Boyd
    Naples, FL
    David Rosenthal
    Houston, TX

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