Understanding Brokerage and Advisory Services at UBS Financial Services
Ubs Financial Services Inc., in its commitment to serving clients’ wealth management needs, operates as both an SEC-registered investment adviser and an SEC-registered broker-dealer. It is crucial for clients to recognize that investment advisory services and brokerage services are distinct, governed by different regulations and agreements. These differences are fundamental to understanding the nature of the services provided by UBS Financial Services. We strongly encourage you to thoroughly review all agreements and disclosures provided to you, ensuring you are well-informed about the services and products we offer.
For a comprehensive overview of our client relationship, please refer to the client relationship summary available at www.ubs.com/relationshipsummary. Your UBS Financial Advisor can also provide you with a copy upon request, ensuring you have direct access to this important information.
Please be aware that due to regulatory restrictions, certain products and services mentioned on these web pages may not be available to residents of specific countries. For detailed information regarding service availability in your region, kindly consult the specific sales restrictions applicable to the service in question. Further details can be found at the official UBS website: https://www.ubs.com.
© UBS 1998 – 2025. All rights reserved. The key symbol and UBS are trademarks of UBS, registered and unregistered. UBS Financial Services Inc. is a subsidiary of UBS Group AG and is a member of FINRA/SIPC.
In the United States, wealth management services are delivered by UBS Financial Services Inc., a registered investment advisor and broker-dealer. We are engaged in securities trading, brokerage, and the provision of related financial products and services. As a registered member of SIPC and FINRA, we adhere to the highest standards of industry regulation and client protection. UBS Financial Services Inc. is also recognized by the U.S. Commodity Futures Trading Commission (CFTC) as a Futures Commission Merchant (FCM), authorized to offer brokerage services related to futures and options on futures products execution and clearing. We are a proud member of NFA, further demonstrating our commitment to regulatory compliance and client service in the futures market.
For additional important legal and regulatory information, please see the following documents: Notice for Non-U.S. Investors, Notice for Non-Puerto Rico Investors, Order Routing Disclosure, Statement of Financial Condition (PDF), Statement of Financial Condition- UBS FSI of Puerto Rico (PDF), Best Execution Statement (PDF), Loan Disclosure Statement (PDF), Account Sweep Yields, Advisory & Brokerage Services, CFP Board’s Trademark Disclaimer, Futures Commission Merchant (FCM) Information for UBS Financial Services Inc, and Disclosures.
