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UBS FINANCIAL SERVICES INC.

WEEHAWKEN, NJ · CRD 8174 · IAPD ↗ · instragram.com · 201-352-3000

$915.79BRegulatory AUM
9149Advisory reps
12524Employees
18245Clients
More than 500Planning clients
0Private funds
50States
1084Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
September 2026 — UBS FINANCIAL SERVICES INC.'s Item 11 disclosure-reporting entries rose by 3 (1081 -> 1084).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2026 — UBS FINANCIAL SERVICES INC. shrank from 9944 to 9149 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
85
April 2025 — UBS FINANCIAL SERVICES INC. grew from 9213 to 9944 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
April 2024 — UBS FINANCIAL SERVICES INC.'s Item 11 disclosure-reporting entries rose by 3 (1088 -> 1091).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2024 — UBS FINANCIAL SERVICES INC. shrank from 10029 to 9213 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.