Lafayette, LA Settlers Trace Boulevard 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
201 Settlers Trace Boulevard, Suite 3004
Lafayette LA 70508
Advisors at this office
4
Advisors at this office
Kendra W
Series 66
Lafayette, LA
UBS Financial Services
Kendra Willis is a Series 66-licensed financial advisor with UBS Financial Services, based in Lafayette, LA, and has three years of industry experience. Prior to joining UBS in 2022, she worked for JP Morgan Chase Bank from 2009 to 2022. Outside of her advisory role, she assists with administrative tasks for a family-owned trucking business. UBS Financial Services serves individual, corporate, and institutional clients through a range of brokerage and investment advisory services, combining institutional trading capabilities with wealth management offerings tailored using proprietary research and model-based asset allocations.
Rachelle P
Series 66
Lafayette, LA
UBS Financial Services
Rachelle Picard is a financial advisor with UBS Financial Services in Lafayette, LA, holding a Series 66 designation and seven years of industry experience. She has been with UBS since 2014. Outside of her advisory role, she is a managing partner of a family LLC that oversees the management and expenses of a family home. UBS Financial Services serves individual, corporate, and institutional clients through a range of brokerage and investment advisory services, including fee-based financial planning and portfolio management. The firm combines institutional trading capabilities with wealth management services, offering proprietary research and a broad platform of capital markets products.
Jay O
Series 63, Series 65
Lafayette, LA
UBS Financial Services
Jay Owen is a financial advisor with UBS Financial Services in Lafayette, LA, holding Series 63 and Series 65 licenses and having 30 years of industry experience. He has been with UBS since 1996. Outside his advisory work, Owen serves on the Board of Directors for Ducks Unlimited Inc. and acts as a State Major Donor Chairman for Louisiana, assisting local chapters in fundraising efforts related to wetlands conservation. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory services, combining proprietary research and model-based asset allocations to tailor financial plans. The firm offers a broad range of capital markets services alongside wealth management and operates with institutional trading capabilities uncommon among large advisory institutions.
John G
Series 66
Lafayette, LA
UBS Financial Services
John Gherardi is a financial advisor with UBS Financial Services in Lafayette, Louisiana, holding a Series 66 designation and 29 years of industry experience. He has been with UBS since 2003. Outside of his advisory role, he serves as Lieutenant Governor in the La-Miss-W Tennessee District of Kiwanis, where he coaches club presidents and officers and supports membership growth. 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, utilizing proprietary research and model-based asset allocations to tailor plans to clients’ goals and risk tolerances.
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