UBS Financial Services Inc.

Broker-DealerFINRA MemberEst. 1971

Total AUM

$916B

Discretionary

$403B

44% of AUM

Accounts

1,144,309

Employees

12,524

Advisory reps

10,586

Brokerage reps

10,948

Firm details

Headquarters: Weehawken, New Jersey
CRD number: 8174
Registered since: January 22, 1971
Website: www.ubs.com
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Commissions, Other
Client types: HNWI78.03%
Corporations / Businesses10.32%
Individuals5.15%
Pension & Profit Sharing Plans2.89%
Charitable Organizations2.34%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersPublication of PeriodicalsSecurity Ratings / Pricing ServicesEducational Seminars / Workshops

Firm profile

FINTRX

Overview

UBS Financial Services Inc. operates as a wirehouse-level broker-dealer and qualified custodian that serves both individual/family and institutional clients. The firm combines brokerage, investment banking-style capabilities, and advisory services; its activities include futures commission merchant and insurance brokerage services alongside portfolio management and financial planning. UBS offers a wide range of advisory functions—portfolio management for individuals and institutions, pension consulting, selection of third‑party advisers, publication of research and periodicals, security pricing/ratings services, and client education programs. The firm is active on ESG matters and uses multiple fee arrangements across its client base, including percentage-of-AUM, hourly, fixed fees and commissions. It does not present itself as a capital allocator; instead, it engages with third‑party managers and sponsors pooled investment vehicles as part of its broader platform and product mix.