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Home > Financial Services > Stock Brokers > Ubs Financial Services Inc.

Ubs Financial Services Inc.

Ubs Financial Services is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.

Ubs is one of the world's leading financial firms, serving a discerning client base. As an organization, it combines financial strength with a global culture that embraces change. Wealth management with more than 140 years of experience, and an extensive global network of around 180 offices, Ubs is the world's leading wealth management business. Some 3,700 client advisors provide a comprehensive range of services customized for wealthy individuals, ranging from asset management to estate planning and from corporate finance to art banking. In the US, Ubs is one of the biggest private client businesses with a client base of nearly 2 million.

Investment banking and securities Ubs is global investment banking and securities firm with a strong institutional and corporate client franchise. Consistently placed in the top tiers of major industry rankings, it is a leading player in the global primary and secondary markets for equity, equity linked and equity derivative products. In fixed income, it is a first rate global player.

Asset management Ubs, as a leading asset manager, provides a broad base of innovative capabilities stretching from traditional to alternative investment solutions for, among other clients, financial intermediaries and institutional investors across the world.

Swiss corporate and individual clients Depending on segment, Ubs holds roughly a quarter and a third of the Swiss banking market. It offers comprehensive banking and securities services for approximately 3.5 million individual and around 143,000 corporate clients, including institutional investors, public entities and foundations based in Switzerland, as well as 3,000 financial institutions worldwide.

Ubs is present in all major financial centers worldwide. It has offices in 50 countries, with 39 percent of its employees working in the Americas, 38 percent in Switzerland, 16 percent in Europe and 7 percent in the Asia Pacific time zone. Ubs's financial businesses employ over 68,000 people worldwide. Its shares are listed on the Swiss Stock Exchange, the New York Stock Exchange and the Tokyo Stock Exchange. As an integrated firm, Ubs creates added value for clients by drawing on the combined resources and expertise of all its businesses.

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