AC
Firm Information
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
9198 advisors
Number of Clients
1,134,581 clients
Average Client Portfolio
$713K average
Assets Under Management
$808.8B
Fee Structure
Minimum Investment:$5M
This brochure discusses various advisory programs offered by UBS Financial Services Inc. Fees are calculated as a percentage of assets in the account or a flat or annual fee and are charged on an ongoing basis. The minimum account opening size for the UBS Consolidated Advisory Program (CAP) and UBS Consolidated Advisory Program Select (CAP Select) will be reduced from $10,000,000 to $5,000,000 on or about February 1, 2026.
Areas of Practice
Investment ManagementFinancial Planning & Coaching
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Advisor Information
Office location
One North Wacker Drive, Ste 3300, Chicago, IL, 60606
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
UBS Financial Services INC.
February 2025 - Present · 11 mos
UBS Financial Services INC. Broker
February 2025 - Present · 11 mos
Previous Registrations
UBS Securities LLCBroker
March 2018 - February 2025 · 6 yrs 11 mos
UBS Financial Services INC. Broker
February 2014 - January 2022 · 7 yrs 11 mos
Lazard Capital Markets LLCBroker
July 2009 - December 2013 · 4 yrs 5 mos
Credit Suisse Securities (usa) LLCBroker
October 2007 - July 2009 · 1 yr 9 mos
State Registrations44 states
ALARAZCACOCTDCDEFLGAHIIAIDILINKSLAMAMDMIMNMOMTNCNENHNJNMNVNYOHOKORPASCSDTNTXUTVAVTWAWIWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.