Carla
Novak

Ubs Financial Services Inc

CRD#5266616
Investment Advisor
in Seattle, WA

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About this Advisor

Carla Novak is a financial advisor who works in Seattle, Washington, with 5 years of industry experience. Novak is currently employed by Ubs Financial Services Inc. They have spent all of their time as a financial advisor at Ubs Financial Services Inc. Novak maintains a Series 66 license, which qualifies them as both a securities agent and an investment advisor representative, and is registered to operate in Washington. Ubs Financial Services Inc is a financial advisory business headquartered in Weehawken, NJ. The firm has offices in 369 locations and a total of 13,059 advisors. It controls $601 billion in assets under management among its 1,077,471 accounts, making it one of the largest financial advisory firms in the country by assets under management. The firm provides financial advice to 8,062 charitable organizations. Of its 1,077,471 customer accounts, 65% belong to high-net-worth individuals who have more than $1 million in assets. Ubs Financial Services Inc offers 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. Financial advisory fees usually vary depending on which services the firm provides the client. However, fees billed by Ubs Financial Services Inc most likely are comprised of some combination of asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 66

Years Registered*

5 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

925 4Th Ave 31St and 32Nd Floor
Seattle, WA 98104

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management

$600,808,847,012

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

13,059

WA Average: 92
Total Number of Accounts

1,077,471

WA Average: 6,978
Average Account Size

$557,610

WA Average: $1,450,417

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

Carla Novak Work History

Carla has been registered as a financial advisor for 5 years.*

2011 - Present (13 years)

Ubs Ny 101Pa B - New York

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Carla Novak to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Ubs Financial Services Inc

Janine Klein
Miami, FL
David Coleman
Short Hills, NJ
Karyn Laughrun
Asheville, NC
Donald Rosenthal
Short Hills, NJ
Eric Delagarza
Watertown, NY
Michael Tusing
Chesterfield, MO
Seth Ripple
Miami, FL
John Mccolskey
Atlanta, GA

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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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 the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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