IRAs and employer-sponsored retirement plans are important elements of a successful retirement and long-term financial plan. As an individual considering a rollover from your 1081.01(d) plan or other Puerto Rico employer-sponsored retirement plan to a UBS Puerto Rico IRA, it's important that you know all of your options as well as the costs associated with a UBS Puerto Rico IRA. UBS Puerto Rico IRAs are only offered on an unsolicited basis. This is not a recommendation to roll over your retirement assets into an IRA.
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UBS Trust Company of Puerto Rico is the trustee of the UBS Puerto Rico IRA trust. UBS Puerto Rico IRAs are only offered on an unsolicited basis. Detailed information about the investments available through UBS Puerto Rico IRAs, including applicable sales charges and other fees, costs (plus annual operating expense ratios, when applicable), penalties, investment objectives and policies, risk factors, and the effects of leverage, is further described in the applicable investment offering documentation and IRA account opening documentation, which you should read carefully prior to making an investment and is available from your Financial Advisor. Investments available through UBS Puerto Rico IRAs are not intended to provide a complete or balanced investment program, but rather are one component of a long-term program to accumulate assets for retirement. An IRA investment is not a deposit or obligation of UBS Financial Services Inc. or its affiliates and is not insured by the FDIC, the U.S. Federal Reserve Board, or any other U.S. Government instrumentality. An IRA investment may lose value. UBS Financial Services Inc. and UBS Trust Company of Puerto Rico do not provide legal or tax advice. You should contact your lawyer or tax consultant. This is not an offer, or a solicitation of an offer, to buy or sell any particular investment. Any such offering is made only by the corresponding investment's offering documentation.
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/relationshipsummary.
2021-476800
Expiration: 11/30/22 Approval date: 11/1/2021 Review Code: IS2105808