UBS Financial Services Inc.

Retirement Planning Firm in Albany County, NY

Firm Info
Address: 8 Southwoods Blvd Suite 207, Albany, NY 12211, USA
Phone: (518) 434-5770

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 prominent registered investment advisory firm providing investment advice to clients. The firm is headquartered in Weehawken, NJ and has been in operation since 1971. UBS Financial Services has a fee-based fee arrangement, indicating that they charge a fee based on the assets they manage for their clients. As a broker-dealer, futures commission merchant, and insurance broker/agent, UBS Financial Services Inc. offers an extensive range of financial services. Their team of professionals provides financial planning, portfolio management services for individuals and small businesses, as well as institutional clients. The firm offers pension consulting services, helps clients select other advisors, and publishes newsletters and periodicals to keep their clients informed about the latest developments. In addition to these services, UBS Financial Services Inc. provides educational seminars and workshops to its clients. These seminars cover various topics, including investment strategies, market trends, and financial planning, and are an excellent way for clients to learn more about their finances. UBS Financial Services Inc. provides security ratings or pricing services, which are highly valuable to clients. Clients can make informed investment decisions based on the information that UBS Financial Services Inc. provides. Overall, UBS Financial Services Inc. is a top choice for investors looking for a reliable investment advisory firm. With a long history in the industry, a broad range of services, and a team of experienced professionals, UBS Financial Services is well equipped to help clients achieve their financial goals.

UBS Financial Services Inc. serves a diverse range of clients that includes 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 types of corporations and clients. The firm caters to an expansive range of clients, providing bespoke solutions tailored to the specific needs of each client. UBS Financial Services Inc. offers a range of fee structures depending on the type of services provided. The fees may be charged as a percentage of assets under management (AUM) for clients who need investment advisory services or who require financial planning. Hourly billing is another fee structure that the firm offers for clients who require specialized services such as tax preparation or legal services. Fixed fees are also charged for services such as estate planning. Commission-based fees may be charged for clients who need brokerage services. Additionally, other types of fees such as performance-based fees or administration fees may also be charged depending on the type of clients or services involved. Overall, UBS Financial Services Inc. strives to provide its clients with a range of cost-effective options for its various services,options they can easily understand, and which provide a clear value proposition to them.

Typical Clients, Fee Structures & Investment Minimum

According to the Part 2 Brochure of UBS Financial Services Inc., which is available on their website, they do not mention an investment minimum for their services. Therefore, it can be assumed that UBS does not have an investment minimum for their clients.

How This Office Can Help Albany County, NY Residents

UBS Financial Services Inc. is a premier global financial services firm, which has a long history of providing customized financial solutions that cater to the specific needs of clients in Albany County, NY. The services offered by UBS Financial Services Inc. are aimed at assisting clients in achieving their financial goals. The company's financial advisors work closely with clients to understand their unique financial situation and provide tailored recommendations. Clients in Albany County, NY may be faced with a variety of financial challenges, including retirement planning, investment planning, wealth management, and estate planning. UBS Financial Services Inc. offers a range of services to help clients navigate these challenges, including investment advisory services, financial planning, and estate planning. Additionally, clients can access a variety of investment solutions, such as mutual funds, exchange-traded funds (ETFs), and alternative investments. UBS Financial Services Inc. also offers access to lending solutions, including mortgages and lines of credit, to help clients achieve their financial goals. Overall, UBS Financial Services Inc. is committed to providing clients in Albany County, NY with the highest level of service and support to help them achieve financial success.

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 8 Southwoods Blvd Suite 207, Albany, NY 12211, USA
Phone (518) 434-5770
Directions
Google My Business Reviews:
5 Stars  |  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.