Clifton
Spinney

Ubs Financial Services Inc

CRD#4000761
Investment Advisor
in Peabody, MA

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About this Advisor

Clifton Spinney is a financial advisor based in Peabody, Massachusetts. Currently an advisor at Ubs Financial Services Inc, they have accrued 11 years of professional experience. Spinney holds Series 63 and Series 66 licenses, which certify the advisor as a securities representative. Spinney is registered to operate based out of New Hampshire and Texas. During their career, the advisor has held roles at Banc Of America Investment Services, Inc, Merrill Lynch, Pierce, Fenner & Smith Inc, Bank Of America, Na and Ubs Financial Services Inc. Ubs Financial Services Inc is headquartered in Peabody, Massachusetts, and has 369 other locations in the nation. As a registered investment advisory firm, Ubs Financial Services Inc manages $496 billion in assets dispersed across 922,927 client accounts and employs more than 13,402 people. The level of assets currently under the firm's management places it among the biggest firms in the nation. The firm manages 453,419 accounts on a discretionary basis, in which the advisor makes investment decisions at their discretion. Currently 52% of the firm's clients are high-net-worth individuals, meaning they have more than $1 million in capital. Ubs Financial Services Inc provides 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. The firm may charge clients asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 63, Series 66

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

Disclosures

Yes

Office Location

8 Essex Center Drive 2Nd Floor
Peabody, MA 01960

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management

$496,034,949,376

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

13,335

MA Average: 92
Total Number of Accounts

957,738

MA Average: 6,978
Average Account Size

$517,923

MA 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

Clifton Spinney Work History

Clifton has 11 years of experience.

2013 - Present (6 years)

Ubs Financial Services Inc

2009 - 2013 (4 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

2009 - 2013 (4 years)

Bank Of America, Na

2007 - 2009 (2 years)

Banc Of America Investment Services, Inc

Disclosures

Clifton Spinney has disclosures.

Please visit their SEC profile for more details.

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

This content was compiled from the SEC and FINRA.

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