Lexington, KY South Ashland 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
307 South Ashland
Lexington KY 40502
Advisors at this office
4
Advisors at this office
Spencer T
Series 66
Lexington, KY
UBS Financial Services
Spencer Tabor is a financial advisor at UBS Financial Services with four years of industry experience. He previously worked at Regions Bank and Whitaker Bank and has a background in education from Morehead State University. 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 uses proprietary research and model-based asset allocations to tailor financial plans according to clients’ goals and risk tolerances.
Mark K
Series 66
Lexington, KY
UBS Financial Services
Mark Korona is a Series 66 licensed financial advisor with UBS Financial Services in Lexington, KY, where he has worked since 2013. He has 22 years of industry experience. Korona serves as a director on the board of the Kentucky Nephrology Research Trust, which focuses on kidney disease research. UBS Financial Services serves individual, corporate, and institutional clients through a range of brokerage and advisory services, including financial planning, portfolio management, and distribution of mutual funds and alternative products. The firm combines institutional trading capabilities with wealth management services and leverages proprietary research and model-based asset allocations to tailor investment strategies.
Sarah C
Series 66
Lexington, KY
UBS Financial Services
Sarah Clark is a financial advisor at UBS Financial Services in Lexington, KY, holding a Series 66 credential with one year of industry experience. Prior to joining UBS in 2024, she worked for the Office of the Comptroller of the Currency from 2008 to 2024. 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 delivers advisory work using proprietary capital market assumptions, model-based asset allocations, and research to tailor plans aligned with clients’ goals and risk tolerances.
David D
Series 66
Lexington, KY
UBS Financial Services
David Demarest is a financial advisor with UBS Financial Services in Lexington, KY, holding a Series 66 designation and 22 years of industry experience. He has been with UBS Financial Services since 2013. Outside of his advisory role, Mr. Demarest is involved in real estate through his sole proprietorship providing consulting and billing services as well as his partnership in operating commercial real estate. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, including fee-based 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 plans to clients’ goals and risk tolerances.
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