Fresno, CA Fig Garden Financial Center 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
Fig Garden Financial Center, 5200 North Palm Suite 101
Fresno CA 93704-9874
Advisors at this office
4
Advisors at this office
Brent F
Series 63, Series 65
Fresno, CA
UBS Financial Services
Brent Folland is a financial advisor with UBS Financial Services in Fresno, CA, holding Series 63 and Series 65 licenses and bringing 30 years of industry experience. He has been with UBS Financial Services Inc. 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 integrates institutional trading capabilities with wealth management services and utilizes proprietary research and model-based asset allocations to tailor client strategies.
Jack S
Series 63
Fresno, CA
UBS Financial Services
Jack Stonhaus is a financial advisor with UBS Financial Services in Fresno, CA, holding a Series 63 designation and 43 years of industry experience. He has been with UBS since 2009. Outside of his advisory role, he serves as an advisor to the Fresno State Foundation, a nonprofit organization focused on scholarships and educational programs. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory services, including fee-based financial planning and portfolio management. The firm combines institutional trading capabilities with wealth management services, utilizing proprietary research and model-based asset allocations to tailor financial plans.
Kenneth R
Series 66
Fresno, CA
UBS Financial Services
Kenneth Rollins is a financial advisor at UBS Financial Services with six years of industry experience. He holds a Series 66 designation and has previously worked at Wells Fargo Clearing, Bank of America, Merrill, and UCLA. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory services, offering a range of financial planning, portfolio management, and capital markets solutions supported by proprietary research and model-based asset allocations.
Mark S
Series 63, Series 65
Fresno, CA
UBS Financial Services
Mark Shepherd is a financial advisor with UBS Financial Services in Fresno, CA, holding Series 63 and Series 65 licenses and bringing 29 years of industry experience. He has been with UBS since 2008. His wife is involved in a long-distance marketing role for Excel Telecommunications. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, including financial planning and portfolio management. The firm combines institutional trading capabilities with wealth management services and utilizes proprietary research and model-based asset allocations to tailor investment plans.
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