Ubs Financial Services Inc

Investment Advisor
in Carmel, CA

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About this Advisor

Dorothy Angelini is a financial advisor based out of Carmel, California, who has been in the advisory business for 10 years. Angelini is an employee of Ubs Financial Services Inc. Over the course of their career, Angelini has held roles at Rbc Capital Markets, LLC, Integris Wealth Management, LLC, Ubs Financial Services Inc and Lpl Financial, LLC. Angelini holds Series 63, Series 65 and Series 66 licenses, qualifying them as both a securities agent and an investment advisor representative, and is able to operate in California. Ubs Financial Services Inc is an advisory firm headquartered in Carmel, California. The company has offices in 369 locations and a total of 15,605 advisors. It administers $591 billion in total assets among its 975,301 accounts, making it one of the largest firms in the country by assets under management. The firm advises 5,525 charities and foundations. Of its 975,301 client accounts, 58% are held by high-net-worth individuals who have more than $1 million in assets available to invest. Ubs Financial Services Inc provides a number of 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. A financial advisor's fees vary depending on which services the firm provides the client. However, fees billed by Ubs Financial Services Inc can be comprised of some blend of asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 63, Series 65, Series 66

Years of Experience

10 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

200 Clock Tower Place Suite C-100
Carmel, CA 93923

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management


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


CA Average: 92
Total Number of Accounts


CA Average: 6,978
Average Account Size


CA 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

Dorothy Angelini Work History

Dorothy has 10 years of experience.

2018 - Present (2 years)

Ubs Financial Services Inc

2016 - 2018 (2 years)

Lpl Financial, LLC

2013 - 2016 (3 years)

Rbc Capital Markets, LLC

2010 - 2013 (3 years)

Integris Wealth Management, LLC


Dorothy Angelini has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Ubs Financial Services Inc

Joseph Schultz
Chicago, IL
Samantha Bethea
Atlanta, GA
Victor Pappolla
Westport, CT
John Barbieri
New York, NY
Fangyun Lin
Weehawken, NJ
Megan Watts
Cincinnati, OH
Erika Lara
San Angelo, TX
Chelsey Frate
La Jolla, CA

This content was compiled from the SEC and FINRA.

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