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May 26, 2015 8:11 AM ET

Capital Markets

Company Overview of UBS Financial Services Inc.

Company Overview

UBS Financial Services Inc. provides financial advisory services to high net worth individuals in the United States. The firm offers securities and commodities brokerage services; investment products and advisory; portfolio management products and services; and execution and clearance services for transactions originated by individual investors. It was formerly known as UBS PaineWebber Inc. and changed its name to UBS Financial Services Inc. in June 2003. The firm was founded in 1880 and is based in New York, New York. As of November 3, 2000, UBS Financial Services Inc. operates as a subsidiary of UBS Americas, Inc.

1285 Avenue of the Americas

New York, NY 10019

United States

Founded in 1880

19,620 Employees





Key Executives for UBS Financial Services Inc.

Chief Executive Officer
Managing Director
Executive Vice President and Chief Financial Officer
Age: 52
Chairman of Mitchell Hutchins Asset Management Inc and Chief Executive Officer of Mitchell Hutchins Asset Management Inc
Age: 66
Chief Executive Officer of Private Bank
Compensation as of Fiscal Year 2014.

UBS Financial Services Inc. Key Developments

UBS Financial Services Promotes Jeremy Wallace and Marc Cobane to First Vice Presidents, Wealth Management

UBS Financial Services announced Jeremy Wallace and Marc Cobane have been promoted to first vice presidents, wealth management.

UBS Financial Services Inc. Presents at The 6th Annual FundForum USA, Oct-27-2014 through Oct-29-2014

UBS Financial Services Inc. Presents at The 6th Annual FundForum USA, Oct-27-2014 through Oct-29-2014. Venue: Mandarin Oriental Boston, Boston, United States. Presentation Date & Speakers: Oct-27-2014, Mirko Joldzic, Director, Retirement Income and Fund Services - Offshore Funds.

The Securities Arbitration Law Firm of Klayman & Toskes, P.A. and Carlo Law Offices, P.S.C. File Claim Against UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services

The Securities Arbitration Law Firm of Klayman & Toskes, P.A. together with Carlo Law Offices, P.S.C. announced that they filed a claim against UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services Inc. on behalf of two retirees. The claim seeks to recover $1.5 million in damages sustained as a result of investing in UBS Puerto Rico Closed End Bond Funds (UBS PR CEBFs), including Puerto Rico Investors Tax Free Fund III, Puerto Rico AAA Portfolio Bond Fund and Puerto Rico Investors Bond Fund. According to the claim, the claimants, who are in their 70s, are unsophisticated investors who invested their hard earned life savings with UBS to devise a portfolio that would provide for their retirement years. After retiring, the claimants looked to UBS to devise a retirement portfolio to provide them with income and financial security. UBS recommended that they take out a loan through UBS Bank USA and use their securities account at UBS as collateral. Claimants followed this recommendation and the recommendation by UBS to purchase its proprietary UBS PR CEBFs that were concentrated in Puerto Rico Government Bonds (PRGBs), as well as individual PRGBs. With the securities account serving as collateral, the claimants wanted a low risk portfolio that would provide income. However, unbeknownst to claimants, their accounts with UBS incorporated a high degree of risk. They were exposed to concentration, leverage, and lack of liquidity. Had this information and the true nature of the risks of these investments been revealed to and known by claimants, or properly disclosed, they absolutely would not have invested their savings in these products.

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