UBS FINANCIAL SERVICES INC.
Latest filing: Jun 26, 2024 (160 days ago)
AUM
$702,387,082,915
17% change vs. 1 year ago
23% change vs. 3 years ago
42% change vs. 5 years ago
158% change vs. 10 years ago
Employee Count
12,701
-3% change vs. 1 year ago
-15% change vs. 3 years ago
-5% change vs. 5 years ago
-14% change vs. 10 years ago
Main Office
WEEHAWKEN, NJ
1200 HARBOR BOULEVARD, WEEHAWKEN, NJ, UNITED STATES, 07086
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $317.3 |
| Non-Discretionary | $385.1 |
| Total | $702.4 |
| Client | AUM |
|---|---|
| Retail | $582.5 |
| Pooled | $0.1 |
| Institutional | $119.8 |
| Total | $702.4 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 307,630 | $54.8 |
| Average Individual AUM | $178,294 | |
| HNW | 738,112 | $527.6 |
| Average HNW AUM | $714,804 | |
| Retail Total | 1,045,742 | $582.5 |
| Average Retail AUM | $556,977 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $702.3 |
| Retail SMA AUM | $582.5 |
| Institutional SMA AUM | $119.8 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 40% | $280.9 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 4% | $28.1 |
| Municipal | 8% | $56.2 |
| Sovereign | 0% | $0.0 |
| IG Credit | 4% | $28.1 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 40% | $280.9 |
| Other Pools | 0% | $0.0 |
| Cash | 2% | $14.0 |
| Other | 1% | $7.0 |
| Total | 99% | $695.2 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| UBS ASSET MANAGEMENT (AMERICAS) LLC | $477.9 | broker-dealer | 106838 |
| UBS OCONNOR LLC | $0.0 | 108754 | |
| UBS TRUST COMPANY OF PUERTO RICO | $0.0 | trust company | - |
| UBS BANK USA | $0.0 | - | |
| UBS AG | $0.0 | broker-dealer | - |
| UBS SECURITIES LLC | $0.0 | broker-dealer | 7654 |
| UBS FINANCIAL SERVICES INSURANCE AGENCY INC. | $0.0 | - | |
| UBS HEDGE FUND SOLUTIONS LLC | $0.0 | 131034 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
12 active
| Name | Title |
|---|---|
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS |
| CHANDLER, JASON RICHARD | PRESIDENT |
| SANBORN, MARK WILSON | MANAGING DIRECTOR |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER |
| HASSAN, NAUREEN FATIMA | CHAIRMAN |
| SAKAI, KIYE | GENERAL COUNSEL |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
9,702 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| JOHN SCHMITT | WEEHAWKEN | NJ | S63|1985-01-15|S66|2007-07-19 | ||||||
| ASHLEY RYAN | WEEHAWKEN | NJ | S63|2017-09-08|S66|2019-01-22 | ||||||
| LYNN FRYCKBERG | WEEHAWKEN | NJ | S63|1983-09-13|S66|2008-02-06 | ||||||
| MICHAEL JANKIEWICZ | WEEHAWKEN | NJ | S63|1986-05-01 | ||||||
| DANTE ORIENTE | WEEHAWKEN | NJ | S63|2012-07-12|S66|2015-08-19 | ||||||
| VINCENT LUCCHESI | WEEHAWKEN | NJ | S66|1998-11-12 | ||||||
| MARGARET JONES | WEEHAWKEN | NJ | S66|2008-09-25 | ||||||
| MORGAN LAROUSSE | WEEHAWKEN | NJ | S66|2022-03-24 | ||||||
| ANA BELTRAN | WEEHAWKEN | NJ | S66|2012-10-05 | ||||||
| LAURENE HAYDEN | WEEHAWKEN | NJ | S63|1991-02-04|S66|2001-08-14 | ||||||
| JEFFREY LAPP | WEEHAWKEN | NJ | S66|1999-12-09 | ||||||
| JACK DELGADO | WEEHAWKEN | NJ | S66|2022-05-09 | ||||||
| LISA MARTIN | WEEHAWKEN | NJ | S66|2011-06-27 | CERTIFIED FINANCIAL PLANNER | |||||
| PATRICK RYAN | WEEHAWKEN | NJ | S66|2023-06-28 | ||||||
| MICHAEL O SHAUGHNESSEY | WEEHAWKEN | NJ | S63|1980-02-26|S65|1996-10-25 | ||||||
| JUSTIN LOW | WEEHAWKEN | NJ | S66|2008-10-17 | ||||||
| BRETT BERGMOSER | WEEHAWKEN | NJ | S63|1998-09-09|S65|1998-09-10 | CERTIFIED FINANCIAL PLANNER | |||||
| MANDA CASH | WEEHAWKEN | NJ | S66|2021-11-05 | ||||||
| BRUCE BALTER | WEEHAWKEN | NJ | S63|1986-06-20|S65|2022-02-05 | ||||||
| STEVEN GOLDMAN | WEEHAWKEN | NJ | S63|1992-10-20|S65|1992-10-28 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-11-01 | $702.4 | $0.0 | 0% | 12,701 | 0 | 0% |
| 2024-04-02 | $702.4 | $0.0 | 0% | 12,701 | 0 | 0% |
| 2023-04-04 | $600.8 | $101.6 | 17% | 13,059 | -358 | -3% |
| 2022-04-01 | $692.3 | $10.1 | 1% | 12,710 | -9 | 0% |
| 2021-04-05 | $572.5 | $129.9 | 23% | 15,009 | -2,308 | -15% |
| 2020-04-01 | $591.4 | $111.0 | 19% | 15,605 | -2,904 | -19% |
| 2019-04-01 | $496.0 | $206.4 | 42% | 13,335 | -634 | -5% |
| 2018-04-02 | $496.1 | $206.3 | 42% | 13,402 | -701 | -5% |
| 2017-04-01 | $391.7 | $310.7 | 79% | 14,632 | -1,931 | -13% |
| 2016-04-01 | $358.3 | $344.1 | 96% | 14,489 | -1,788 | -12% |
| 2015-04-01 | $372.1 | $330.3 | 89% | 14,196 | -1,495 | -11% |
| 2014-04-01 | $272.3 | $430.1 | 158% | 14,737 | -2,036 | -14% |
| 2013-04-01 | $185.3 | $517.1 | 279% | 15,900 | -3,199 | -20% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NJ, AK-08/14/1991, AL-07/01/1991, AR-06/12/1991, CA-07/08/1997, CO-01/01/1999, CT-07/02/1997, DC-02/19/1995, DE-09/11/2003, FL-09/10/1986, GA-09/03/1991, HI-10/18/1991, IA-01/01/1999, ID-09/17/1991, IL-09/22/1989, IN-05/23/1989, KS-08/01/1997, KY-01/05/2004, LA-10/18/2001, MD-07/24/1991, ME-01/30/2002, MI-03/31/2010, MN-05/26/1989, MO-05/17/1989, MS-08/15/1997, MT-11/26/1997, NC-03/23/2001, ND-05/26/1989, NE-07/31/1997, NH-09/26/1986, NJ-04/03/1993, NM-02/07/1992, NV-12/14/1990, NY-01/01/1974, OH-08/09/1999, OK-01/01/1998, PA-11/10/2005, PR-03/30/2018, RI-01/01/1993, SC-07/06/1989, SD-08/29/1991, TN-07/28/1997, TX-12/01/1970, UT-09/20/1991, VA-02/13/1989, VI-05/21/2007, VT-01/03/1995, WA-04/24/1990, WI-01/30/1996, WV-06/24/1991, WY-03/31/2021 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION NEWSLETTERS SECURITY RATINGS EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
BROKER DEALER FUTURES MERCHANT INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV