Scottsdale, AZ 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
Scottsdale AZ
Advisors at this office
5
Advisors at this office
James W
Series 63, Series 66
Scottsdale, AZ
UBS Financial Services
James Wrenn is a financial advisor with UBS Financial Services in Scottsdale, AZ, holding Series 63 and Series 66 designations and bringing 33 years of industry experience. He has been with UBS since 2006 and was previously associated with Piper Jaffray Inc. since 1993. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, employing proprietary research and model-based asset allocations to tailor plans based on clients’ goals and risk tolerances. The firm combines institutional trading capabilities with wealth management services and provides a broad range of capital markets and advisory solutions.
Asad B
Series 66
Scottsdale, AZ
UBS Financial Services
Asad Bahbah is a financial advisor at UBS Financial Services with 16 years of industry experience and holds a Series 66 designation. He has been with UBS since 2016. UBS Financial Services Inc. 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 client strategies.
James M
Series 63, Series 65
Scottsdale, AZ
UBS Financial Services
James Mead is a financial advisor with UBS Financial Services in Bend, OR, holding Series 63 and Series 65 licenses and bringing 35 years of industry experience. He has been with UBS since 2015. Outside of his advisory role, Mead is a partner in an agricultural business involved in cattle breeding. UBS Financial Services serves individual, corporate, and institutional clients through a combination of brokerage and investment advisory offerings, utilizing proprietary research and model-based asset allocations to tailor financial plans. The firm integrates institutional trading capabilities with wealth management services, providing a broad range of capital markets and advisory solutions.
Scot B
CFP®, Series 63, Series 65
Scottsdale, AZ
UBS Financial Services
Scot Berryman is a CFP® with 31 years of industry experience, currently serving as a financial advisor at UBS Financial Services since 2015. He is based in Scottsdale, AZ, and holds Series 63 and Series 65 licenses. Outside of his advisory role, he is a partner in cattle breeding operations through MB Angus, LLC, and participates on the 401k committee at Eugene Country Club. UBS Financial Services serves individual, corporate, and institutional clients with a range of brokerage and advisory solutions, combining institutional trading capabilities with wealth management services supported by proprietary research and model-based asset allocations.
Jeoffrey W
Series 63, Series 65
Scottsdale, AZ
UBS Financial Services
Jeoffrey Wasson is a financial advisor with UBS Financial Services in Phoenix, AZ, holding Series 63 and Series 65 credentials and bringing 32 years of industry experience. He has been with UBS since 2008. Outside of his advisory role, he is the sole owner of CTB Properties, LLC, a company established for holding rental property. UBS Financial Services serves individual, corporate, and institutional clients through a combination of brokerage and investment advisory offerings, utilizing proprietary research and model-based asset allocations to tailor financial plans and portfolio management. The firm integrates institutional trading capabilities with wealth management services.
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