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 a financial advisor company based in Weehawken, New Jersey. The firm has $591.4 billion in assets under management over 975,301 customer accounts, placing it among the biggest financial advisory firms in the nation by assets under management (AUM). The firm has a very large team of 15,605 employees, nine thousand, nine hundred forty-eight of whom are financial advisors. Ubs Financial Services Inc does not act as a registered broker-dealer, meaning the company is not able to buy and sell securities for its clients' and own accounts and instead has to go through a broker-dealer company to do so. Securities are tradable fiscal investments like stocks, bonds and options.

    Ubs Financial Services Inc manages the majority of its client assets in a discretionary manner. Discretionary management means that a portfolio manager makes buy and sell decisions for the client's account without needing client approval. It also administers 453,014 non-discretionary accounts with a total of $319.8 billion in AUM. The investment advisory firm administers an average of $606,337 in assets for each customer account. The average advisor at Ubs Financial Services Inc manages about 98 client accounts.

    The firm's headquarters is located at 1200 Harbor Boulevard, Weehawken, New Jersey 7086. Ubs Financial Services Inc is legally registered to serve investors across 47 U.S. states and territories.

    Assets Under Management

    $591.4 billion

    Number of Advisors

    9,948

    Disclosures

    No

    Office Location

    1200 Harbor Boulevard
    Weehawken, NJ 07086

    Ubs Financial Services Inc by the Numbers

    Total Assets Under Management

    $591.4 billion

    National Average: $3.7 billion
    Total Number of Employees

    15,605

    National Average: 29
    Total Number of Accounts

    975,301

    National Average: 2,073
    Average Account Size

    $606.3 thousand

    National Average: $1.8 million

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    Products and Services

    Ubs Financial Services Inc offers multiple 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 past financial year, the firm provided 1753 of its clients with financial planning services. It does sell products or offer services aside from investment advice to its clients. The firm is also affiliated with one or more other service providers in the financial services industry, 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 62% 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.

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    Fee Structure

    Financial management fees typically vary depending on which services the firm provides the client. Fees billed by the company most likely include some combination 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 74% 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 35% 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 2% 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.

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    Types of Clients

    The firm manages money for a broad range of clients. It provides services to retail investors, high net worth investors, banking institutions, pooled investment vehicles, pension plans, charitable organizations, state or municipal government entities, other investment advisers, insurance companies, sovereign wealth funds, corporations and other. Out of its 975,301 accounts, Ubs Financial Services Inc's largest client group by number of accounts is high net worth investors, but it also manages money for 573,492 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 under management or a net worth of more than $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of its clients are non-U.S. persons.

    • High-Net-Worth Individuals* - 57.66%
    • Other Individuals - 37.94%
    • Corporations - 3.84%
    • Charitable Organizations - 0.56%

    * 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

    Lucille Denos
    San Mateo, CA
    Norberto Quirno Costa
    Miami, FL
    Edward Persia
    Houston, TX
    Jacklyn Raymonda
    Rochester, NY
    Brian Mojica
    Jacksonville, FL
    Alex Elmore
    Atlanta, GA
    Marzena Hrebenko
    New York, NY
    Kurt Nielsen
    Denver, CO
    William Liu Jr.
    Melville, NY

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    This content was compiled from the SEC and FINRA

    Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.