Fort Collins, CO John F. Kennedy Parkway Office
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UBS Financial Services
Institution
Firm-wide stats for UBS Financial Services
About
UBS Financial Services Inc. serves individual, corporate and institutional clients through a combination of brokerage and investment advisory offerings, including fee-based financial planning, discretionary and non‑discretionary portfolio management, wrap fee programs and distribution of mutual funds and alternative products. The firm is registered as a broker‑dealer, an investment adviser and a futures commission merchant and also provides custody, underwriting and other capital markets services through its platform.
Advisory work is delivered through a network of Financial Advisors who use proprietary capital market assumptions, model-based asset allocations and research from the Chief Investment Office and UBS Global Research (INV Research) to tailor plans and probabilistic analyses to clients’ stated goals and risk tolerances. When engaged for fee‑based Financial Planning Services the firm acts in a fiduciary capacity and discloses and monitors relevant conflicts such as revenue sharing, sweep arrangements and the firm’s trading practices.
Compared with many peers, UBS combines institutional trading capabilities with wealth management services: it operates as a futures commission merchant, conducts principal trading and market‑making (including markups/markdowns and underwriting activity) and uses internal pricing practices that are less common among large advisory institutions. The firm also distributes proprietary periodic research and maintains affiliated banking and securities‑backed lending programs and data‑analytics (Strategic Insights) arrangements with product providers, all of which broaden its service set and are disclosed in its Form ADV.
Based on UBS Financial Services
Expertise
Based on UBS Financial Services
Location
3711 John F. Kennedy Parkway, Ste 430
Fort Collins CO 80525
Advisors at this office
7
Advisors at this office
Carter B
Series 66
Fort Collins, CO
UBS Financial Services
Carter Babb is a financial advisor at UBS Financial Services with six years of industry experience. He holds a Series 66 designation and previously worked at Morgan Stanley Private Bank and Morgan Stanley. Prior to his financial career, he was employed in real estate development and property management roles. UBS Financial Services serves individual, corporate, and institutional clients with brokerage and investment advisory services, combining institutional trading capabilities with wealth management. The firm offers fee-based financial planning, portfolio management, and proprietary research to tailor plans to clients’ goals and risk tolerances.
Nathan H
Series 63, Series 66
Fort Collins, CO
UBS Financial Services
Nathan Hall is a financial advisor with UBS Financial Services in Fort Collins, CO, holding Series 63 and Series 66 licenses and bringing 18 years of industry experience. He previously worked at Deutsche Bank Securities Inc. for eight years before joining UBS. Outside of finance, he is a minority shareholder in Alton Lane, Inc., a bespoke clothier, and occasionally offers his opinion on business matters. UBS Financial Services serves individual, corporate, and institutional clients with a range of brokerage and investment advisory services, leveraging proprietary research and model-based asset allocations to tailor financial plans aligned with clients’ goals and risk tolerances.
Justin B
Series 63, Series 65
Fort Collins, CO
UBS Financial Services
Justin Brolyer is a financial advisor at UBS Financial Services with 23 years of industry experience. He has been with UBS Financial Services since 2013 and holds Series 63 and Series 65 licenses. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, including fee-based financial planning and portfolio management. The firm combines institutional trading capabilities with wealth management services, operating as a broker-dealer, investment adviser, and futures commission merchant.
Caroline A
Series 66
Fort Collins, CO
UBS Financial Services
Caroline Aguilar is a financial advisor with UBS Financial Services in Fort Collins, CO, holding a Series 66 designation and 18 years of industry experience. She has been with UBS Financial Services since 2008. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, including fee-based financial planning and portfolio management. The firm combines institutional trading capabilities with wealth management services and uses proprietary research and model-based asset allocations to tailor financial plans.
Brooke B
Series 66
Fort Collins, CO
UBS Financial Services
Brooke Bontz is a financial advisor at UBS Financial Services with 13 years of industry experience. She holds the Series 66 designation and has worked at several firms, including Phillip Loring and various insurance carriers, before joining UBS in 2020. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, combining institutional trading capabilities with wealth management services. The firm utilizes proprietary research and model-based asset allocations to tailor financial plans to clients' goals and risk tolerances.
Shannon I
Series 63, Series 66
Fort Collins, CO
UBS Financial Services
Shannon Ingraham is a financial advisor with UBS Financial Services in Fort Collins, CO, holding Series 63 and Series 66 credentials and bringing 31 years of industry experience. She has been with UBS Financial Services since 2013. UBS Financial Services Inc. serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, including fee-based financial planning and portfolio management. The firm combines institutional trading capabilities with wealth management services and delivers advisory work using proprietary capital market assumptions and research from its Chief Investment Office and UBS Global Research.
John M
Series 63, Series 65
Fort Collins, CO
UBS Financial Services
John Mclaurin is a financial advisor at UBS Financial Services with 29 years of industry experience. He has been with UBS since 2002 and holds Series 63 and Series 65 licenses. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, including fee-based financial planning and portfolio management. The firm combines institutional trading capabilities with wealth management services and leverages proprietary research and model-based asset allocations to tailor client solutions.
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