Ubs Financial Services Inc

Investment Advisor
in Boston, MA

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About this Advisor

Roger Kraus is an advisor who works in Boston, Massachusetts. Currently a registered financial advisor with Ubs Financial Services Inc, Kraus has 10 years of professional experience. Kraus maintains a Series 66 license, designating the advisor as both a securities agent and an investment advisor representative. Kraus is registered to operate based out of New Jersey. Kraus has gained experience at J.P. Morgan Securities Inc, Ubs Bank Usa and Ubs Financial Services Inc. Ubs Financial Services Inc is headquartered in Boston, Massachusetts, and operates out of 369 locations in the United States. Overall, Ubs Financial Services Inc manages $591 billion in assets throughout 975,301 client accounts and retains more than 15,605 people. The amount of assets the firm manages makes it one of the largest firms in the United States. The firm manages 522,287 accounts on a discretionary basis, in which the advisor makes investment decisions at their discretion. Currently 58% of the advisory firm's clients are high-net-worth individuals, meaning they have greater than $1 million in assets. 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's fees may include asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

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

One Post Office Square
Boston, MA 02109

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management


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


MA Average: 92
Total Number of Accounts


MA Average: 6,978
Average Account Size


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

Roger Kraus Work History

Roger has 10 years of experience.

2016 - Present (6 years)

Ubs Bank Usa

2016 - Present (6 years)

Ubs Financial Services Inc

2011 - 2015 (4 years)

J.P. Morgan Securities Inc

2010 - 2011 (1 year)

J.P. Morgan Securities Inc


Roger Kraus has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Ubs Financial Services Inc

Anne-Marie Cronin
Boston, MA
Andrea Rice
New York, NY
Tamara Greenberg
Weehawken, NJ
Guillermina Alonso
Miami, FL
Elise Ballard
Tacoma, WA
Conner Phillips
Weehawken, NJ
Brett Schumbacker
Naples, FL
Erinn Kane
New York, NY

The content in this profile was updated by SmartAsset on 08/06/2020 using publicly available data compiled from the SEC and FINRA. To report any data inconsistencies or errors, please contact The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm, and financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.

This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).

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.

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