Important Information about Brokerage and Advisory Services at Ubs Financial Services Inc.
UBS Financial Services Inc., as a wealth management service provider, operates as both an SEC-registered investment adviser and an SEC-registered broker-dealer. It’s crucial for clients to understand that investment advisory and brokerage services are distinct, regulated by different laws, and governed by separate agreements. These services differ materially, and it is vital to be fully informed about how UBS Financial Services Inc. conducts business.
When considering financial products or services offered by UBS Financial Services Inc., carefully review the client agreements and disclosures provided. To gain a comprehensive understanding of our client relationship, please access the client relationship summary at www.ubs.com/relationshipsummary. Alternatively, you can request a copy from your UBS Financial Advisor.
Please note that the availability of products and services mentioned may vary depending on your country of residence. For specific details, refer to the sales restrictions associated with each service. Further information can be found at https://www.ubs.com.
© UBS 1998 – 2025. All rights reserved. The key symbol and UBS are trademarks of UBS. 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. As a securities firm, UBS Financial Services Inc. provides securities trading, brokerage, and related products and services. UBS Financial Services Inc. is a member of SIPC and FINRA. Furthermore, UBS Financial Services Inc. is registered with the U.S. Commodity Futures Trading Commission (CFTC) as a Futures Commission Merchant (FCM), offering brokerage services for the execution and clearing of futures and options on futures products. UBS Financial Services Inc. is a member of NFA.
For important notices, please see: 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.
