UBS Financial Services Inc.

Broker-DealerFINRA MemberEst. 1971

Total AUM

$916B

Discretionary

$403B

44% of AUM

Accounts

1,144,309

Employees

12,524

Advisory reps

10,684

Brokerage reps

10,948

Firm details

Headquarters: WEEHAWKEN, New Jersey
CRD number: 8174
Registered since: January 22, 1971
Website: www.ubs.com
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Commissions, Other
Client types: HNWI78.03%
Corporations / Businesses10.32%
Individuals5.15%
Pension & Profit Sharing Plans2.89%
Charitable Organizations2.34%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersPublication of PeriodicalsSecurity Ratings / Pricing ServicesEducational Seminars / Workshops

Firm profile

FINTRX

Overview

UBS Financial Services Inc. operates as a global wirehouse-style broker-dealer and qualified custodian that serves both individual/family and institutional clients. The firm combines brokerage, advisory and insurance distribution capabilities with investment bank functions, and offers a wide set of advisory services including financial planning, discretionary portfolio management for individuals and institutions, pension consulting, manager selection, and educational programs. UBS reports being an active ESG investor and maintains multiple fee arrangements (percentage of AUM, hourly, fixed fees, commissions and other structures) to accommodate different client needs. It also functions as a futures commission merchant and engages in publications and security pricing activities.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities43%
Public Funds/Mutual Funds39%
State & Local Bonds8%
Investment Grade Corp Bonds4%
US Government Bonds3%

Owners & executives

3 of 22

BOR VAN DER WEERDEN
President, CEO, Wealth AdvisorCRD 5014909
SOLITA MARCELLI
Chief Investment OfficerCRD 4252914
Ian Spencer
Chief Investment OfficerCRD 8184436

Unlock 19 more executives →

Contacts

3 of 10662

Christopher Gallant
Client Service AssociateCRD 7038444
LORENA GARZA
Financial Advisor and Registered RepresentativeCRD 4363307
Russell Ude
Assistant Market HeadCRD 7145688

Unlock 10659 more contacts →

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 3,312

Active vs passive

$189B in ETFs

Passive

90%

$170B

Active

8%

$18.1B

ETF	Provider	Style	Category	Value	Shares	% of portfolio
SPDR S&P 500 ETF TRUST (SPY)	State Street	Passive	Large Blend	$8B	12,302,084	4.24%

Unlock additional holdings →

Primary office

WEEHAWKEN, NJ

HUDSON

Location

WEEHAWKEN, NJ

Headquartered in WEEHAWKEN, NJ, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area: New York-Newark, NY-NJ-CT-PA
Region: Northeast
County: HUDSON
Address: 1200 Harbor Blvd
Time zone: ET (UTC-5)
Office locations

Similar firms

BCG SECURITIES, INC.

CHERRY HILL, NJ

AUM $894MTEAM 55REPS 48

ACA/PRUDENT INVESTORS PLANNING CORPORATION

GREEN BROOK, NJ

AUM $351MTEAM 2REPS 2

PTS BROKERAGE, LLC

MT LAUREL, NJ

AUM $132MTEAM 18REPS 18

GMS GROUP

EAST HANOVER, NJ

AUM $19.8MTEAM 15REPS 62

NATIONWIDE PLANNING ASSOCIATES INC.

FAIR LAWN, NJ

CAVU SECURITIES LLC

RED BANK, NJ

More Broker-Dealers in WEEHAWKEN →All New Jersey Broker-Dealers →