Ubs Financial Services Inc

Investment Advisor
in Montgomery, AL

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About this Advisor

Caroline Warren is a financial advisor operating in Montgomery, Alabama, who has been in the advisory business for 11 years. Warren works at Ubs Financial Services Inc. They have been employed by Ubs Financial Services Inc for their whole career. Warren has Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and is registered to serve investors in Alabama. Ubs Financial Services Inc is a registered investment firm headquartered in Montgomery, Alabama. It has offices in 369 locations and a total of 15,605 financial advisors. It controls $591 billion in total assets among its 975,301 client accounts, making it one of the largest firms in the country by assets under management. The firm provides services to 5,525 charities and foundations. Of its 975,301 accounts, 58% belong to high-net-worth clients who have at least $1 million in assets available to invest. Ubs Financial Services Inc performs a number of services, such as 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. Fees charged by financial advisors usually depend on the type of financial services provided. However, fee types charged by Ubs Financial Services Inc most likely consist of any combination of asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

11 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions, Others



Office Location

4001 Carmichael Road Suite 400
Montgomery, AL 36106

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management


AL Average: $10,121,009,343
Total Number of Employees


AL Average: 92
Total Number of Accounts


AL Average: 6,978
Average Account Size


AL Average: $1,450,417

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops

Caroline Warren Work History

Caroline has 11 years of experience.

2009 - Present (12 years)

Ubs Financial Services Inc


Caroline Warren has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Ubs Financial Services Inc

Brennan Collins
Springfield, MA
Thomas Ladd
New York, NY
Quillian Grindstaff
Charlotte, NC
Tessa Zhang
Weehawken, NJ
Kay Buel
Kansas City, MO
Jason Cheu
Mill Valley, CA
Robert Golden
Beverly Hills, CA
Tunde Nagy
Paramus, NJ

This content was compiled from the SEC and FINRA.

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