Advisors & Broker-Dealers

UBS Provides Financial Advice

As a firm providing wealth management services to clients in the U.S., we are registered with the U.S. Securities and Exchange Commission (SEC) as an investment adviser and a broker-dealer, offering both investment advisory and brokerage services.

Though there are similarities among these services, the investment advisory programs and brokerage accounts we offer are separate and distinct, differ in material ways and are governed by different laws and separate contracts with you.

Our clients work with their Financial Advisors to determine the services that are most appropriate given the clients' goals and circumstances. Based on the services you request, we can fulfill your wealth management needs in our capacity as an investment adviser, as a broker-dealer or as both.

For More Information

  • Understanding the ways in which we can conduct business under applicable laws and regulations is essential to the relationship between clients and their Financial Advisors.

  • It is important that you carefully read the agreements and disclosures that we provide to you with respect to the products or services under consideration.

  • While we strive to make sure the nature of our services is clear in the materials we publish, if at any time you would like clarification on the nature of your accounts or the services you are receiving or considering, please contact your Financial Advisor.