Ubs Financial Services Inc.

Registered investment adviser · Weehawken, NJ · CRD #8174

Form ADV data as of 2026-09-01

Regulatory assets

$915.79 billion

Total accounts

1,144,309

Employees

12,524

Disclosure events

1,084

Firm details

Website: https://www.instragram.com/ubstrending/
Telephone: 201-352-3000
SEC file number: 801-7163
Most recent Form ADV filing: 2026-08-25
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 23 disclosure questions answered Yes, covering 1,084 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Convicted of or pled guilty/no contest to a felony (past 10 years)
Charged with a felony (past 10 years)
Convicted of or pled guilty/no contest to an investment-related misdemeanor (past 10 years)
Charged with an investment-related misdemeanor (past 10 years)
SEC or CFTC found a false statement or omission
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC found the firm caused a business to lose or have its authorization restricted
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Another regulator found a violation of investment-related regulations or statutes
Another regulator found the firm caused a business to lose or have its authorization restricted
Another regulator entered an order in connection with investment-related activity (past 10 years)
Another regulator denied, suspended, or revoked a registration or restricted activity
A self-regulatory organization found a false statement or omission
A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm
An authorization to act as an attorney, accountant, or federal contractor was revoked or suspended
Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.
A court enjoined the firm in connection with investment-related activity (past 10 years)
A court found involvement in a violation of investment-related statutes or regulations
A court dismissed an investment-related civil action under a settlement agreement
Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$402.98 billion
Non-discretionary regulatory assets under management	$512.81 billion
Total regulatory assets under management	$915.79 billion
Discretionary accounts	410,763
Non-discretionary accounts	733,546
Total accounts	1,144,309
Regulatory assets under management attributable to non-U.S. persons	$23.15 billion

People

Total employees (excluding clerical)	12,524
Employees performing investment advisory functions (including research)	9,149
Employees who are registered representatives of a broker-dealer	10,948
Employees registered as investment adviser representatives with a state	9,149
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	5,553
Firms or persons who solicit advisory clients on the firm's behalf	144

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$929.37 billion
Clients for whom the firm has custody	1,155,333
A related person has custody of client cash or bank accounts	Yes
A related person has custody of client securities	No
Client funds and securities held in a related person's custody	$15.66 billion
Clients for whom a related person has custody	1,155,333
The firm acts as a qualified custodian	Yes
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)CommissionsOther

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersSecurity ratings or pricing servicesEducational seminars/workshops

Other business activities

Broker-dealer (registered or unregistered)Futures commission merchantInsurance broker or agent

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered security-based swap dealerCommodity pool operator or commodity trading advisorFutures commission merchantBanking or thrift institutionTrust companyInsurance company or agencyPension consultantReal estate broker or dealerSponsor or syndicator of limited partnershipsSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys securities from or sells securities to advisory clients (principal transactions)
Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Executes agency cross transactions involving advisory client securities
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Brokers or dealers selected under 8.C.(3) are related persons
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	244,284	$47.16 billion
High net worth individuals	853,775	$714.55 billion
Banking or thrift institutions	8	$59.3 million
Pooled investment vehicles (other than investment companies and BDCs)	24	$71.3 million
Pension and profit sharing plans (not the participants or government plans)	9,843	$26.43 billion
Charitable organizations	8,053	$21.44 billion
State or municipal government entities (including government pension plans)	357	$4.26 billion
Insurance companies	436	$1.42 billion
Sovereign wealth funds and foreign official institutions	34	$399.2 million
Corporations or other businesses not listed above	27,490	$94.46 billion
Other	284	$5.53 billion