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

10,616

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 full-service wirehouse and broker-dealer with a broad set of wealth and institutional capabilities. The firm functions as a qualified custodian and maintains activities across brokerage, futures commission merchant services, and insurance intermediation. Its client base spans individual and family clients as well as institutional mandates. Advisory services include financial planning, portfolio management for both individuals and institutions, pension consulting, selection of external advisers, and educational programming; the firm also produces periodic publications and provides security pricing or ratings services. UBS reports itself as an active ESG investor and uses multiple fee arrangements across its businesses (percentage of AUM, hourly, fixed fees, commissions and others).

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client 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

Alejo Czerwonko Pupi
Chief Investment OfficerCRD 6202465
Mark Haefele
Chief Investment Officer, Wealth ManagementCRD 6115769
Bor Van Der Weerden
President, CEO, Wealth AdvisorCRD 5014909

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Contacts

3 of 10593

Graham Cox
Vice President, Wealth ManagementCRD 5641262
Shawn Higley
Associate DirectorCRD 5642329
Colby Robbins
Senior Vice President, Wealth Management Financial AdvisorCRD 5642432