Ubs Financial Services Inc

CRD#8174
Investment Advisor Firm

Answer a few questions and
get matched with an advisor.

Find an Advisor

Overview

Ubs Financial Services Inc is a financial advisory company located in Weehawken, New Jersey. The company manages $496.0 billion in total assets throughout 957,738 customer accounts, placing it among the largest investment advisory firms in the nation by assets under management (AUM). It has a very large group of 13,335 employees, of which 10,409 are financial advisors. Ubs Financial Services Inc does not act as a registered broker-dealer, signifying that the firm is not able to buy and sell securities for its customers' and own accounts and instead is required to go through a broker-dealer company to do so. Securities are tradable fiscal assets such as options, equities and bonds.

Ubs Financial Services Inc administers more than half of its accounts on a discretionary basis. Discretionary management is a structure in which buy and sell choices are made by a portfolio manager without needing client consent. The firm also administers 457,661 non-discretionary accounts with a total of $270.0 billion in AUM. The advisory firm's average account size is $517,887. The typical financial advisor at Ubs Financial Services Inc administers about 92 client accounts.

The firm's main office is located at 1200 Harbor Boulevard, Weehawken, New Jersey 7086. The company is allowed to provide services to investors throughout 48 U.S. states and territories.

Number of Advisors

10,409

Disclosures

No

Office Location

1200 Harbor Boulevard
Weehawken, NJ 07086

Ubs Financial Services Inc by the Numbers

Total Number of Employees

13,335

National Average: 4,943
Total Number of Accounts

957,738

National Average: 2,522
Average Account Size

$517.9 thousand

National Average: $1.3 million

Find a dedicated advisor for your needs

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Products and Services

Ubs Financial Services Inc offers a variety of financial services, including 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 last financial year, Ubs Financial Services Inc provided 1,990 of its accounts with financial planning services. The company does sell products or offer services other than investment advice to its clients. Ubs Financial Services Inc also has a number of financial industry affiliations, including 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.

Core Advisor Services

  • Offered by 45% 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 63% 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 23% 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 4% of firms

    Publication of Periodicals

    This is the publication of various financial education materials.

  • Offered by 10% of firms

    Educational Seminars/Workshops

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

Back to Overview

Fee Structure

Financial advisory fees are based on which services the firm provides the client. Fee types billed by Ubs Financial Services Inc can be comprised of some blend of the following fee structures: asset-based, hourly, fixed, commission-based or other. Wrap fee programs, or the practice of bundling services for a single fee, are provided by Ubs Financial Services Inc.

Available

  • Offered by 75% 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 37% 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 3% 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 40% 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 12% 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 17% 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 1% 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.

Back to Overview

Types of Clients

The firm works with a number of different clients. It works with retail investors, high net worth investors, banking institutions, pooled investment vehicles, pension plans, charitable organizations, state or municipal government entities, other investment advisors, insurance companies, sovereign wealth funds, corporations and other types of clients. Out of its 957,738 clients, Ubs Financial Services Inc's largest client is high net worth investors, though it also manages money for 545,177 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an investor who has at least $750,000 under management or a net worth of at least $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of the company's accounts are represented by people from outside of the U.S.

  • High-Net-Worth Individuals* - 55.71%
  • Other Individuals - 39.89%
  • Corporations - 3.91%
  • Charitable Organizations - 0.49%

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

Find an advisor who will work directly with you

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Disclosures

Ubs Financial Services Inc does not have any disclosures.

Please visit its Form ADV for more details.

Back to Overview
Back to Overview

Find a financial advisor near you

If you're interested in working with an advisor closer to you, we can help you find one. Click here to find your advisor matches today.

Back to Overview

Financial Advisors at Ubs Financial Services Inc

Debra Noble
Weehawken, NJ
Patrick Harrington
Weehawken, NJ
Micaela Murphy
La Jolla, CA
Kory Frost
Farmington, MI
Felicia Chang
Pasadena, CA
Chester Wang
Boulder, CO
Juliana Trovato
Florham Park, NJ
Brent Barnhart
Birmingham, MI
Ross Jones
Beaumont, TX

Not sure which advisor is right for you? Use our matching tool

Our matching tool simplifies the process of finding a financial advisor. To match you with top financial advisors nearby, we ask you a series of questions about your retirement plans, life status, investment goals and advisor preferences, which are all important topics to consider when choosing a financial advisor. Click here to find your advisor matches today

Back to Overview

This content was compiled from the SEC and FINRA