UBS Financial Services Inc.

Wealth Management Firm in Poway, CA


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 has been in business since 1971. Their headquarters is located in Weehawken, NJ. They operate as a fee-based firm, which means their clients pay a set fee for their services. As a broker-dealer, futures commission merchant, and insurance broker/agent, UBS Financial Services Inc. provides investment advice to individuals and businesses. They offer financial planning services, portfolio management for individuals and small businesses, as well as portfolio management for businesses or institutional clients. The firm also provides pension consulting services, as well as selection of other advisors to their clients. To further their reach, UBS Financial Services Inc. publishes a variety of periodicals and newsletters, including security ratings or pricing services. The firm also offers educational seminars and workshops to impart financial knowledge and keep their clients up-to-date on industry trends and news. Overall, UBS Financial Services Inc. provides a wide range of services to meet the investment needs of their clients.

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 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 Poway, CA Residents

UBS Financial Services Inc. offers a wide variety of financial solutions for individuals and businesses located in Poway, CA. Located only 35 minutes from Poway, UBS Financial Services Inc. provides personalized attention to all clients. Whether an individual is looking to invest in the market, save for retirement, plan for future education expenses, or buy a home, UBS Financial Services Inc. has a financial solution tailored to their specific needs. Poway is a city where many residents own their own businesses. As such, UBS Financial Services Inc.'s business expertise makes it well-equipped to assist these individuals with their financial needs. The city also has a large number of retirees, which means that UBS Financial Services may provide clients with solutions to maintain their current lifestyles while planning for the future. UBS Financial Services Inc. can also assist individuals and families who may be starting to invest for their futures or those who need help as they navigate inheritance, estate planning, and other similar finance-related topics. UBS Financial Services Inc. is dedicated to helping all its clients meet their financial goals with tailored solutions and personalized attention.

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 17180 Bernardo Center Dr, San Diego, CA 92128, USA
Phone (858) 521-7000
Directions
Google My Business Reviews:
5 Stars

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.