UBS Financial Services Inc.
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
FINTRXOverview
UBS Financial Services Inc. is the U.S. arm of a global wirehouse and operates as a broker-dealer, futures commission merchant and insurance broker while also providing advisory and wealth-management services. Its client base spans individuals and families as well as institutional investors. The firm offers a mix of brokerage and advisory fee arrangements — including percentage-of-AUM, hourly and fixed fees, plus commission-based business — and provides financial planning, discretionary and non-discretionary portfolio management, selection-of-other-advisers, pension consulting-related services, published research/newsletters and educational programs. The firm identifies as an active ESG investor and is involved in multiple industry roles such as sponsor/manager of pooled vehicles and banking- and trust-related activities.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities43%
- Public Funds/Mutual Funds39%
- State & Local Bonds8%
- Investment Grade Corp Bonds4%
- US Government Bonds3%
Owners & executives
3 of 23
Bor Van Der Weerden
President, CEO, Wealth AdvisorCRD 5014909
Solita Marcelli
Chief Investment OfficerCRD 4252914
Ian Spencer
Chief Investment OfficerCRD 8184436
Contacts
3 of 10631
Christopher Gallant
Client Service AssociateCRD 7038444
Lorena Garza
Financial Advisor and Registered RepresentativeCRD 4363307
Russell Ude
Assistant Market HeadCRD 7145688
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 3,312Active vs passive
$189B in ETFs
90%
$170B
8%
$18.1B
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| SPDR S&P 500 ETF TRUST (SPY) | State Street | Passive | Large Blend | $8B | 12,302,084 | 4.24% |
Location
Weehawken, NJ
Hudson
Location
Weehawken, NJ
Headquartered in Weehawken, NJ, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.
- Metro area
- New York-Newark, NY-NJ-CT-PA
- Region
- Northeast
- County
- Hudson
- Address
- 1200 Harbor Blvd
- Time zone
- ET (UTC-5)
- Office locations
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