UBS Financial Services Inc.

Financial Advisor in Westlake, OH


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

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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. serves a diverse range of clients, including 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, and other corporation types not listed. Additionally, the firm caters to other types of clients. UBS Financial Services Inc. offers a variety of fee structures depending on the service provided. Clients can choose from percentage of assets under management (AUM), hourly billing, fixed fees, commissions, and other types of fees. The percentage of AUM fee structure is typically used for investment management services, where the advisor charges a percentage of the client's total assets managed. The hourly billing structure is used for consulting services, where the advisor charges an hourly rate for their time. Fixed fees are typically used for financial planning services, where the advisor charges a fixed amount for a specific service. Commissions are earned when the advisor sells a financial product to the client, and other types of fees may include account maintenance fees, transaction fees, or custody fees. The firm provides transparent and competitive fee structures to meet the needs and objectives of its clients.

Typical Clients, Fee Structures & Investment Minimum

The Part 2 Brochure of UBS Financial Services Inc. mentions that their investment minimums may vary depending on the program and product type. They advise clients to speak with their financial advisor for specific information on the investment minimums for their individual accounts. Therefore, UBS Financial Services Inc.'s Part 2 Brochure does not provide a specific investment minimum.

How This Office Can Help Westlake, OH Residents

UBS Financial Services Inc. is a well-known financial services provider in Westlake, OH. It assists clients in the city primarily by offering them customized financial solutions related to their specific financial situations. For instance, people living in Westlake, OH may face various financial challenges such as planning for retirement, managing their debts, saving for their children's education, and financing their homes. UBS Financial Services Inc. has financial advisors who are well equipped to help clients navigate these situations. The firm also offers investment advice and helps clients create customized portfolios to protect and grow their assets. Another way that UBS Financial Services Inc. assists clients in Westlake, OH is by providing them with personalized financial risk management strategies. The financial advisors at the firm can help clients assess their risks and take appropriate measures to mitigate them. This could include creating an emergency fund, taking out insurance policies, or investing in low-risk assets. UBS understands that each client's financial situation is unique, and provides tailored advice and solutions to help them reach their financial goals. With its expertise and resources, UBS Financial Services Inc. is a valuable partner for anyone looking to achieve financial stability in Westlake, OH.

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 2055 Crocker Rd Suite 201, Westlake, OH 44145, USA
Phone (440) 414-2740
Directions
Google My Business Reviews:
1 Star  |  1 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.

FREQUENTLY ASKED QUESTIONS

Fiduciary Financial Advisor FAQs