| Name | Title | Ownership | Since |
|---|---|---|---|
| Joseph Somma Control | Principal Operations Officer | Under 5% | 2019 |
| Kiye Sakai | General Counsel | Under 5% | 2022 |
| Lauren Munfa | Chief Compliance Officer | Under 5% | 2023 |
UBS Financial Services Inc. reports $80.9 million in regulatory assets under management on its Form ADV.
UBS Financial Services Inc. reports 12,629 employees.
UBS Financial Services Inc. is based in Weehawken, NJ and has been SEC-registered since 1971.
UBS Financial Services Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
| Address | 1200 Harbor Boulevard, Weehawken, NJ 07086 |
| Phone | 201-352-3000 |
| Office hours | 9:00 a.m. To 5:00 p.m. |
| SEC region | New York Regional Office (NYRO) |
| Discloses disciplinary history | Yes |
| Discretionary | $35.7M |
| Non-discretionary | $4.5M |
| Total (RAUM) | $80.9M |