UBS Financial Services Inc.

Financial Advisor in Greenwich, CT

Firm Info
Address: 100 West Putnam Avenue Suite 200, Greenwich, CT 06830, USA
Phone: (203) 862-2110

Firm Size
Assets Under Management: $692 billion
# of Advisors: 9,954
# of Clients: 1.1 million
Client to Advisor Ratio: 108:1
Average Account Size: $644,401
# of Offices: 1

Services Offered
  • Financial Planning
  • Portfolio Management for Individuals & Small Businesses
  • Portfolio Management for Businesses or Institutional Clients
  • Pension Consulting Services
  • Selection of Others Advisors
  • Publication of Periodicals or Newsletters
  • Security Ratings or Pricing Servicess
  • Educational Seminars & Workshops

Types of Clients
  • Individuals (Not High Net Worth)
  • Individuals High Net Worth

    *>=750k in Investable Assets or >=1.5m of Estimated Total Net Worth

  • Banking Institutions
  • Pooled Investment Vehicles
  • Pension & Profit Sharing Plans
  • Charitable Organizations
  • State & Municipal Govt Entities
  • Other Investment Advisors
  • Insurance Companies
  • Sovereign Wealth Funds & Foreign Official Institutions
  • Corporations or Other Businesses Not Listed Above
  • Other

Available Fee Structures
  • Percentage of Assets Under Management (AUM)
  • Hourly
  • Fixed Fees (Other than subscription)
  • Commissions
  • Other

Get Connected with a Financial Advisor

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Ubs Financial Services Inc. Overview

UBS Financial Services Inc. is a fee-based registered investment advisory firm based out of Weehawken, NJ. The firm has been in business since 1971, serving individuals, small businesses, institutional clients and more. As a broker-dealer, futures commission merchant, and insurance broker/agent, UBS is able to provide a wide range of investment advice services. UBS Financial Services offers a variety of services to its clients. These include financial planning, portfolio management, pension consulting, and selection of other advisors. In addition, the firm provides security ratings, pricing services, and publishes periodicals and newsletters. UBS also provides educational seminars and workshops to keep clients up-to-date with industry trends and best practices. UBS Financial Services has a long-standing reputation for providing high-quality investment advice. With a history dating back to 1971, the firm has proven time and time again that it is committed to helping individuals and businesses achieve their financial goals. Whether clients are looking for portfolio management or educational workshops, UBS has the expertise and experience to meet their needs.

UBS Financial Services Inc. is known for catering to a diverse range of clients. The firm serves individuals, high net worth individuals, banking institutions, pooled investment vehicles, pension or profit sharing plans, charitable organizations, state or municipal government entities, other investment advisors, insurance companies, sovereign wealth funds, other corporation types not listed, and other types of clients. As a leading name in the financial services industry, UBS Financial Services Inc. has an extensive track record of providing tailored and effective solutions to clients from all sectors. Whether clients seek assistance with investment, estate planning, or financial analysis, UBS Financial Services Inc. provides unparalleled financial expertise. UBS Financial Services Inc. offers a range of fee structures depending on the services provided to the clients. Clients can choose from different fee structures, including percentage of AUM, hourly, fixed fees, commissions, and other types fees. The percentage of AUM, or assets under management, is a fee model that charges clients a percentage of the total assets they manage through UBS Financial Services Inc. As for the hourly fee structure, clients pay for the amount of time spent by the financial advisor or other professionals to provide advice and consultation. Fixed fees provide a set price for a specific service, while commissions are a percentage of the amount being invested by the clients. Lastly, other types of fees may include performance-based fees or other incentives. No matter which fee structure clients choose, UBS Financial Services Inc. is committed to delivering exceptional service and value to each and every one of its clients.

Typical Clients, Fee Structures & Investment Minimum

According to UBS FINANCIAL SERVICES INC.'s Part 2 Brochure, there is no mention of an investment minimum noted.

How This Office Can Help Greenwich, CT Residents

Bull Oak Capital is a wealth management firm that offers comprehensive financial planning and investment services to clients in San Diego, CA. They provide personalized solutions designed to meet each client’s unique needs and financial goals. The firm takes a holistic approach to investing, taking into account a client’s current financial situation, future plans, and risk tolerance. Clients in San Diego, CA may face a variety of financial situations. For example, they may be planning for retirement and seeking out investment advice on how to make their savings last. Alternatively, they may be navigating a significant life event such as the loss of a spouse or job, or an unexpected medical expense. Bull Oak Capital can help clients address common challenges such as budgeting, reducing debt, building an emergency fund, college planning, and estate planning. By working with Bull Oak Capital, clients in San Diego, CA can feel confident that they are on the right path towards their financial goals.

To view the Minimum Investment and Fee Schedule for Ubs Financial Services Inc., visit their Part 2 Brochure.

Services Offered by Ubs Financial Services Inc.

Core Advisor Services
Financial Planning

Financial planning services encompass the process of devising strategies for your future financial well-being, including preparing for events such as retirement, funding your child's college education, or planning for the transfer of assets.

Portfolio Management for Individuals & Small Businesses

Portfolio management entails the careful selection and strategic management of investment combinations tailored to meet the needs of individuals and small businesses.

Market Timing Services

Market timing services involve the endeavor to generate short-term profits from investments by capitalizing on opportunities to buy at low prices and sell at high prices.

Other Services
Selection of Other Advisors

The firm provides support in selecting and engaging other advisors who possess specialized expertise to complement your financial needs.

Publication of Periodicals or Newsletters

The firm engages in the dissemination of diverse financial educational materials through the publication of periodicals.

Educational Seminars & Workshops

The firm organizes and conducts seminars or workshops aimed at enlightening investors on various financial concepts.


Fee Structures

Financial advisory fees usually are based on the services provided. Fee types charged by Ubs Financial Services Inc. most likely consist of the following fee types: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm.

Available
Percentage of Assets Under Management (AUM)
Hourly
Fixed Fees (Other than subscription)
Commissions
Other
Unavailable
Subscription (Newsletter or Periodical)
Performance-based Fees

Types of Clients

*The Securities & Exchange Commission defines someone as “high net worth” if they have $750,000 or more in investable assets or $1.5M of estimated total net worth.


This Office Location

Firm location 100 West Putnam Avenue Suite 200, Greenwich, CT 06830, USA
Phone (203) 862-2110
Directions
Google My Business Reviews:

Other Office Locations

Firm Headquarters
Firm headquarters location 1200 HARBOR BOULEVARD, WEEHAWKEN, NJ 7086, United States

This firm has no other locations.

State Registrations

Ubs Financial Services Inc. is registered to service clients in the following states:

  • Alabama
  • Alaska
  • Arkansas
  • California
  • Colorado
  • Connecticut
  • Delaware
  • District of Columbia
  • Florida
  • Georgia
  • Hawaii
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maine
  • Maryland
  • Michigan
  • Minnesota
  • Mississippi
  • Missouri
  • Montana
  • Nebraska
  • Nevada
  • New Hampshire
  • New Jersey
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Ohio
  • Oklahoma
  • Pennsylvania
  • Puerto Rico
  • Rhode Island
  • South Carolina
  • South Dakota
  • Tennessee
  • Texas
  • Utah
  • Vermont
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin
  • Virgin Islands

Disciplinary History

Ubs Financial Services Inc. does not have any disclosures. Please visit it's Form ADV for more details.