Ubs Financial Services Inc
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
Years of Experience
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. Based on that information, we match you with financial advisors near you who suit your needs. Our matching tool has connected more individuals with financial advisors than any other service in the U.S. Click here to get matched with an advisor today.
Ubs Financial Services Inc Brokerage Details
Let us help match you with the right financial advisor for your needs.Answer a few questions to get a personalized match.
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.
Ubs Financial Services Inc
Caroline Warren has no disclosures.
Please visit their SEC profile for more details.
Financial Advisors at Ubs Financial Services Inc
New York, NY
Kansas City, MO
Mill Valley, CA
Beverly Hills, CA