UBS Financial Services Inc.

Wealth Management Firm in Bettendorf, IA

Firm Info
Address: 5515 Utica Ridge Rd Suite 200, Davenport, IA 52807, USA
Phone: (563) 359-4554

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 registered investment advisory firm that was established in 1971. Based in Weehawken, NJ, the firm operates on a fee-based arrangement with clients. As a broker-dealer, futures commission merchant, and insurance broker/agent, UBS provides investment advice to individuals, small businesses, and institutional clients. The firm offers a wide range of services, including financial planning, portfolio management, and pension consulting services. Clients can also seek assistance in selecting other advisors, accessing security ratings or pricing services, and attending educational seminars and workshops. UBS also publishes periodicals and newsletters to keep clients informed and up-to-date on the latest investment trends. As a leading financial advisor, UBS is committed to delivering personalized investment solutions tailored to meet the unique needs of each client. With over 50 years of experience in the industry, the firm has established a strong reputation for quality service and expertise. Whether you are an individual investor or a business looking to optimize your investment strategies, UBS can provide the guidance and support you need to achieve your financial goals.

UBS Financial Services Inc. offers financial services to a diverse range of clients, including high net worth individuals, banking institutions, and government entities. They also cater to the needs of pension or profit sharing plans, charitable organizations, and insurance companies. Furthermore, UBS Financial Services Inc. provides investment advice to other investment advisors, pooled investment vehicles, sovereign wealth funds, and other corporation types not listed. Additionally, they offer their services to individual clients looking for financial guidance. The firm's expertise extends to a variety of clients, catering to different sectors and industries. UBS Financial Services Inc. provides clients with a range of fee structures depending on the services provided. They offer a percentage of Assets Under Management (AUM) fee structure where clients are charged a percentage of their managed assets, usually 1-2% annually. Alternatively, clients can opt for an hourly fee structure, where a fixed hourly rate is charged for time spent on financial planning and advice. UBS Financial Services Inc. also offers fixed fees, which are often used for specific services, such as wealth management and retirement planning. Commissions are another form of fee structure that is available, where advisors receive a commission on transactions made on behalf of clients. Additionally, other types of fees are available for specific services or products. This allows clients to tailor their fee structure according to their specific needs and services provided by the firm.

Typical Clients, Fee Structures & Investment Minimum

According to UBS Financial Services Inc.'s Part 2 Brochure, there is an investment minimum required for their advisory services. The brochure notes that "minimum account sizes may apply depending on the services provided and the type of investments involved." However, the exact investment minimum is not specified in the brochure. It is recommended to contact UBS directly to inquire about their specific investment minimum requirements.

How This Office Can Help Bettendorf, IA Residents

UBS Financial Services Inc. is a leading provider of financial planning and investment services for clients in Bettendorf, IA. They offer expertise in a wide range of financial areas, including retirement planning, investment management, estate planning, education funding, and tax planning. With their extensive knowledge and experience, UBS Financial Services Inc. can help clients navigate their unique financial situations and achieve their long-term goals. For those living in Bettendorf, IA, specific financial situations could include planning for retirement, managing investments, creating an estate plan, funding education for children, and managing taxes. With UBS Financial Services Inc.'s help, clients can develop personalized financial plans that take into account their unique financial needs and goals. They offer access to a diverse range of investment products and financial planning tools that can help clients achieve their financial objectives while minimizing risk. Additionally, UBS Financial Services Inc. provides ongoing support and guidance to ensure that clients stay on track towards achieving 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 5515 Utica Ridge Rd Suite 200, Davenport, IA 52807, USA
Phone (563) 359-4554
Directions
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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.