Important Information and Disclosures for Retirement Plans Working with UBS Financial Services Inc
For information about IRAs, please refer to the IRA information page.
We know how important it is to keep you informed and up to date on the services we provide and the compensation we receive with respect to your retirement plans and accounts. We have designed this web page to provide you easy, up-to-date access to all of our disclosures relating to your retirement plan or account.
Disclosures For Retirement Plans With UBS Accounts
Disclosures For Retirement Plans With UBS Accounts
Relationship summary for individual UBS Wealth Management clients
This disclosure is required by the SEC’s Best Interest Regulation to provide a summary of services provided by UBS. It is a required disclosure for IRAs and owner-only or owner and spouse pension plans.
Disclosures For Retirement Plans Serviced by a UBS Financial Advisor Where Plan Assets Are Held Away From UBS
Disclosures For Retirement Plans Serviced by a UBS Financial Advisor Where Plan Assets Are Held Away From UBS
UBS also provides advisory services to corporate retirement plans through the Retirement Plan Manager, Retirement Plan Adviser, Retirement Plan Consulting Services and Institutional Consulting programs. Plans participating in these programs receive a copy of the UBS Financial Services Inc. ADV Disclosure Brochure covering that program. This document contains important information, including Fees and Compensation (Item 5) and Participation or Interest in Client Transactions (Item 11). These documents, together with the particular program contract agreement, fulfill the disclosure requirements under the Department of Labor's regulations under Section 408(b)(2) of ERISA.
Additional Disclosures
Additional Disclosures
Your relationship with UBS
Your relationship with UBS
Understanding our approach, services, fees, compensation and conflicts of interest.
This document is not specific to retirement plans but describes:
- Our Financial Advisors and investment approach
- Understanding the differences between our advisory and brokerage services
- Limitations on our services
- How our Financial Advisors are compensated
- Conflicts of interest
UBS Account, Product and Service Disclosures
Here you have access to the current account agreements covering your UBS accounts and other important product and service disclosures.