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UBS Financial Services Inc. is registered with the US Securities and Exchange Commission (SEC) as an investment adviser and a broker-dealer. UBS Financial Services Incorporated of Puerto Rico is registered as a broker-dealer.

As a ﬁrm providing wealth management services to clients, UBS Financial Services Inc. oﬀers investment advisory services in its capacity as an SEC-registered investment adviser and brokerage services in its capacity as an SEC-registered broker-dealer. Investment advisory services and brokerage services are separate and distinct, diﬀer in material ways and are governed by diﬀerent laws and separate arrangements. It is important that clients understand the ways in which we conduct business, that they carefully read the agreements and disclosures that we provide to them about the products or services we oﬀer. A small number of our ﬁnancial advisors are not permitted to oﬀer advisory services to you, and can only work with you directly as UBS broker-dealer representatives. Your ﬁnancial advisor will let you know if this is the case and, if you desire advisory services, will be happy to refer you to another ﬁnancial advisor who can help you. Our agreements and disclosures will inform you about whether we and our ﬁnancial advisors are acting in our capacity as an investment adviser or broker-dealer. For more information, please review the PDF document at ubs.com/workingwithus (PDF).

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Wealth management services in the United States are provided by UBS Financial Services Inc., a registered broker-dealer offering securities, trading, brokerage and related products and services. Member SIPC. Member FINRA. UBS Financial Services Inc. is also registered as a Futures Commission Merchant (FCM) with the U.S. Commodity Futures Trading Commission (CFTC) and offers brokerage services related to the execution and clearing of on-exchange futures and options on futures products. Member NFA

Notice for Non-U.S. Investors. Notice for Non-Puerto Rico Investor. 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. Important Information About Auction Rate Securities (Not for Puerto Rico). Futures Commission Merchant (FCM) Information for UBS Financial Services Inc. Agreements and Disclosures (PDF).

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