Greenwich, CT 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
Greenwich CT
Advisors at this office
5
Advisors at this office
Matthew K
Series 63, Series 65
Greenwich, CT
UBS Financial Services
Matthew Klein is a financial advisor at UBS Financial Services with 18 years of industry experience. He has been with UBS since 2012 and holds Series 63 and Series 65 licenses. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, including financial planning, portfolio management, and distribution of mutual funds and alternative products. The firm combines institutional trading capabilities with wealth management services and uses proprietary research and model-based asset allocations to tailor client plans.
Robert E
Series 63, Series 65
Greenwich, CT
UBS Financial Services
Robert Errico is a financial advisor with UBS Financial Services in Greenwich, CT, holding Series 63 and Series 65 licenses and bringing 35 years of industry experience. He has been with UBS since 2007. In addition to his advisory role, he serves as Trustee, Treasurer, and Chair of Finance and Audit for the Boys Club of New York and is a member of the Board of Directors at Memorial Sloan Kettering Cancer Center. UBS Financial Services serves individual, corporate, and institutional clients through a range of brokerage and investment advisory services, using proprietary research and model-based asset allocations to tailor financial plans. The firm combines institutional trading capabilities with wealth management services and offers a broad platform including financial planning, portfolio management, and capital markets services.
Rosa C
Series 63, Series 66
Greenwich, CT
UBS Financial Services
Rosa Cherrie is a financial advisor with UBS Financial Services in Greenwich, CT, holding Series 63 and Series 66 licenses and bringing 27 years of industry experience. She has worked at UBS since 2010. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, integrating proprietary research and model-based asset allocations to tailor plans according to clients' goals and risk tolerances. The firm combines institutional trading capabilities with wealth management services, providing a broad range of capital markets and advisory solutions.
Alvaro D
Series 63, Series 66
Greenwich, CT
UBS Financial Services
Alvaro De Lucas Collantes is a financial advisor at UBS Financial Services with 17 years of industry experience. He holds Series 63 and Series 66 licenses and has been with UBS since 2015. Outside of his advisory role, he is the proprietor of a rental property business. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and advisory offerings, including 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 client solutions.
Matthew B
Series 63, Series 66
Greenwich, CT
UBS Financial Services
Matthew Buchsbaum is a financial advisor at UBS Financial Services with 33 years of industry experience. He has been with UBS since 2015 and holds Series 63 and Series 66 credentials. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, including financial planning and discretionary portfolio management. The firm combines institutional trading capabilities with wealth management services and utilizes proprietary research and model-based asset allocations to tailor strategies for clients.
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