Johnson City, TN East Mountcastle Drive Office

Team
Updated today
UBS Financial Services logo

UBS Financial Services

Institution

Firm-wide stats for UBS Financial Services

Total advisors

9,326

Across 990 offices

Clients per advisor

118 High

Avg AUM per client

$693,691 High

HNW client ratio

78% Very High

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

General retirement planning Cash flow / budgeting Equity compensation tax strategy

Based on UBS Financial Services

Occupation focus

Executive Founder/Business Owner

Based on UBS Financial Services

Demographic focus

Mid-Career Professionals Approaching retirement

Based on UBS Financial Services

Location

214 East Mountcastle Drive

Johnson City TN 37601

Advisors at this office

7

Advisors at this office

user avatar

Alexander S

CFP®, Series 63, Series 65, Series 66

Johnson City, TN

UBS Financial Services

Alexander Swatzell is a CFP® professional at UBS Financial Services with eight years of industry experience. Prior to joining UBS in 2023, he spent 16 years at Marmo Financial Group, LLC. Outside of his advisory role, he serves on the finance committee of Southern Appalachian Ronald McDonald House Charities and is treasurer for the Johnson City National Major Little League board, alongside officiating high school and college basketball games. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, utilizing proprietary research and model-based asset allocations to tailor plans to clients’ goals and risk tolerances. The firm combines wealth management with institutional trading capabilities and provides a broad range of capital markets services.

General retirement planning Cash flow / budgeting Equity compensation tax strategy Executive Founder/Business Owner Mid-Career Professionals Approaching retirement
user avatar

Tia P

Series 66

Johnson City, TN

UBS Financial Services

Tia Peace is a financial advisor with UBS Financial Services in Johnson City, TN. She holds the Series 66 designation and has eight years of industry experience. She has been with UBS Financial Services since 2011. 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 strategies.

General retirement planning Cash flow / budgeting Equity compensation tax strategy Executive Founder/Business Owner Mid-Career Professionals Approaching retirement
user avatar

Linda B

Series 66

Johnson City, TN

UBS Financial Services

Linda Barr is a financial advisor at UBS Financial Services with seven years of industry experience. She holds the Series 66 designation and is based in Johnson City, TN. Barr has been with UBS Financial Services since 1999. UBS Financial Services Inc. serves individual, corporate, and institutional clients through brokerage and advisory offerings, including financial planning, portfolio management, wrap fee programs, 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.

General retirement planning Cash flow / budgeting Equity compensation tax strategy Executive Founder/Business Owner Mid-Career Professionals Approaching retirement
user avatar

Brandon L

Series 63, Series 65

Johnson City, TN

UBS Financial Services

Brandon Linton is a financial advisor at UBS Financial Services with 27 years of industry experience. He has been with UBS since 2000 and holds Series 63 and Series 65 designations. Outside of his advisory role, he serves on the finance committee of First Christian Church and is a member of the Washington County committee for the Ballad Health Foundation, which allocates funds raised to support the local hospital system. UBS Financial Services serves individual, corporate, and institutional clients through a range of brokerage and investment advisory services, including financial planning and portfolio management. The firm combines institutional trading capabilities with wealth management, offering proprietary research and integrated capital markets services.

General retirement planning Cash flow / budgeting Equity compensation tax strategy Executive Founder/Business Owner Mid-Career Professionals Approaching retirement
user avatar

David B. A

Series 63, Series 65

Johnson City, TN

UBS Financial Services

David B. Arnold is a financial advisor at UBS Financial Services with 30 years of industry experience. He has been with UBS since 1999 and holds Series 63 and Series 65 designations. Outside of his advisory role, he is a proprietor of a real estate private investment business. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and advisory offerings, combining institutional trading capabilities with wealth management services across a broad range of financial products.

General retirement planning Cash flow / budgeting Equity compensation tax strategy Executive Founder/Business Owner Mid-Career Professionals Approaching retirement
user avatar

Mitchell T

Series 66

Johnson City, TN

UBS Financial Services

Mitchell Tuell is a financial advisor at UBS Financial Services with 19 years of industry experience. He holds the Series 66 designation and has been with UBS since 2011. Outside of his advisory role, he is an independent flight instructor and co-pilot, and he has been involved in medical device development through an engineering role. UBS Financial Services serves individual, corporate, and institutional clients through a range of brokerage and investment advisory services. The firm combines institutional trading capabilities with wealth management, offering fiduciary financial planning and portfolio management supported by proprietary research and a broad platform of capital markets services.

General retirement planning Cash flow / budgeting Equity compensation tax strategy Executive Founder/Business Owner Mid-Career Professionals Approaching retirement
user avatar

Leigh G

Series 66

Johnson City, TN

UBS Financial Services

Leigh Galloway is a financial advisor at UBS Financial Services with 24 years of industry experience. He has been with UBS since 2000 and holds the Series 66 designation. UBS Financial Services Inc. serves individual, corporate, and institutional clients through brokerage and investment advisory services, including financial planning and portfolio management. The firm combines institutional trading capabilities with wealth management services and provides research and capital markets solutions to its clients.

General retirement planning Cash flow / budgeting Equity compensation tax strategy Executive Founder/Business Owner Mid-Career Professionals Approaching retirement
View complete list of advisors at this office
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