Sign in
Create a free account
UBS FINANCIAL SERVICES INC.
WEEHAWKEN, NJ
201-352-3000
SEC #801-7163Total AUM
$915.8B
Employees
12,524Clients
1,144,588Firm overview
Client Breakdown by AUM
AUM previous 5 years
Smooth / Detailed
Business
Principal Address
1200 HARBOR BOULEVARD
WEEHAWKEN
NJ 07086
United States
WEEHAWKEN
NJ 07086
United States
Operating Hours
9:00 AM TO 5:00 PM
Monday - Friday
Monday - Friday
Phone
201-352-3000
Other Offices
369
Financials
Total AUM
$915.8B
Accounts
1,144,309Discretionary
$403B
Accounts
410,763Non-Discretionary
$512.8B
Accounts
733,546
Clients
Individual Clients
244,284AUM
$47.2B
HNW Individual Clients
853,775AUM
$714.6B
Banking Clients
8AUM
$59.3M
Pooled Vehicle Clients
24AUM
$71.3M
Pension/Profit Sharing Plan Clients
9,843AUM
$26.4B
Charitable Organization Clients
8,053AUM
$21.4B
Government Entity Clients
357AUM
$4.3B
Insurance Company Clients
436AUM
$1.4B
Sovereign Wealth Fund Clients
34AUM
$399.2M
Corporation or Business Clients
27,490AUM
$94.5B
Other Clients
284AUM
$5.5B
Description of Other Clients
OTHER INCLUDES TRIBAL ENTITIES AND INVESTMENT CLUBS
Services
Services Offered
Advisor / Fund Manager SelectionEducationFinancial PlanningIndividual Portfolio ManagementInstitutional Portfolio ManagementPension ConsultingPublicationsSecurities Ratings
Compensation Types
Charges CommissionCharges Fixed FeeCharges Hourly FeeCharges Other FeeCharges Percentage AUM
Other Compensation
SEE SCHEDULE D - MISCELLANEOUS
Compliance
Disclosures
Court Injunction (Past 10 Years)Court Violation FindingDismissed Civil Action (Settlement)Felony ChargeFelony ConvictionLicense Revocation/SuspensionMisdemeanor ConvictionMisdemeanor Conviction ChargeOther Regulator Cause of Denial/SuspensionOther Regulator Denial/Suspension/RevocationOther Regulator False Statement/DishonestyOther Regulator Order (Past 10 Years)Other Regulator Violation FindingPending Civil ProceedingPending Regulatory ProceedingSEC/CFTC Cause of Denial/SuspensionSEC/CFTC False Statement FindingSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation FindingSRO Discipline/Expulsion/SuspensionSRO False Statement FindingSRO Rule Violation
State Registrations
AKALARCACOCTDCDEFLGAHIIAIDILINKSKYLAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKPAPRRISCSDTNTXUTVAVIVTWAWIWV
Affiliates
Affiliates
Reported 7 business affiliates.
Claimed Affiliates
Reported as an affiliate by 24 other businesses.