Wayzata, MN East Lake Street Office

Team
Updated today
UBS Financial Services logo

UBS Financial Services

Institution

Firm-wide stats for UBS Financial Services

Total advisors

9,351

Across 995 offices

Clients per advisor

117 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

681 East Lake Street

Wayzata MN 55391

Advisors at this office

63

Advisors at this office

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Ian E

Series 66

Wayzata, MN

UBS Financial Services

Ian Eklin is a Series 66 licensed financial advisor with UBS Financial Services in Wayzata, MN, with four years of industry experience. Prior to joining UBS, he worked at PricewaterhouseCoopers LLP. UBS Financial Services serves individual, corporate, and institutional clients through a combination of brokerage and investment advisory offerings, leveraging proprietary capital market assumptions and research to tailor financial plans and portfolio management to clients’ goals and risk tolerances.

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

Series 63, Series 66

Wayzata, MN

UBS Financial Services

Gary Hansen is a financial advisor with UBS Financial Services in Chanhassen, MN, holding Series 63 and Series 66 registrations and 30 years of industry experience. He has been with UBS Financial Services since 2012. Outside of his advisory role, Hansen is involved with the Mae and Sylvester Weiss Foundation, which distributes grants annually. 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 a broad array of capital markets and lending services.

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

Series 63, Series 65

Wayzata, MN

UBS Financial Services

Molly Padmore is a financial advisor with UBS Financial Services in Bloomington, MN, holding Series 63 and Series 65 licenses and bringing 29 years of industry experience. She has been with UBS Financial Services since 2006 and has worked at U.S. Bancorp Piper Jaffray Inc since 2001. Outside of her advisory role, she has worked as a sales associate at Crate and Barrel. UBS Financial Services Inc. serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, utilizing proprietary capital market assumptions and research to tailor plans according to clients’ goals and risk tolerances. The firm combines institutional trading capabilities with wealth management services and provides a broad range of capital markets, custody, and lending solutions.

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

Evan E

Series 63, Series 66

Wayzata, MN

UBS Financial Services

Evan Erickson is a financial advisor at UBS Financial Services with five years of industry experience. He holds Series 63 and Series 66 licenses and has previously worked at Fidelity Investments, Ameriprise Financial Services, LLC, and Wells Fargo Bank, N.A. Prior to his financial career, he was employed at Gustavus Adolphus College for four years. UBS Financial Services Inc. 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 client plans.

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

Series 66

Wayzata, MN

UBS Financial Services

Rebecca Falk is a financial advisor with UBS Financial Services in Minneapolis, Minnesota. She holds a Series 66 designation and has 20 years of industry experience, all with UBS since 2006. She also serves as trustee for a family trust established to distribute assets and manage related tax obligations. 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 provides proprietary research and capital markets activities as part of its platform.

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

Mallory V

Series 66

Wayzata, MN

UBS Financial Services

Mallory Vacek is a financial advisor with UBS Financial Services, holding a Series 66 designation and two years of industry experience. Prior to joining UBS, Mallory worked at Polaris Inc. and spent four years in academic roles at the University of Minnesota and Waconia High School. UBS Financial Services serves individual, corporate, and institutional clients by offering brokerage and investment advisory services, including portfolio management and fee-based financial planning. The firm integrates institutional trading capabilities with wealth management 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
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Carol H

Series 63

Wayzata, MN

UBS Financial Services

Carol Henry is a financial advisor with UBS Financial Services in Wayzata, MN, holding a Series 63 designation and 33 years of industry experience. She has been with UBS since 2006. Outside of her advisory role, she serves as a successor trustee for a family trust. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, combining institutional trading capabilities with wealth management services and leveraging proprietary research and model-based asset allocations.

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

Jacob A

Series 66

Wayzata, MN

UBS Financial Services

Jacob Adams is a financial advisor with UBS Financial Services, holding a Series 66 designation and one year of industry experience. His work history includes multiple roles at UBS as well as experience at Ameriprise and U.S. Bank. 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 plans to clients' goals and risk tolerances. The firm integrates institutional trading capabilities with wealth management services and offers a broad range of capital markets and custody services.

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

Randall P

Series 63, Series 65

Wayzata, MN

UBS Financial Services

Randall Petersen is a financial advisor at UBS Financial Services with 40 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at UBS since 2006. Prior to UBS, he has been affiliated with Piper Jaffray Inc. since 1989. 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 and utilizes 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

Louis C

Series 63, Series 65

Wayzata, MN

UBS Financial Services

Louis Close is a financial advisor with UBS Financial Services in Wayzata, MN, holding Series 63 and Series 65 licenses and bringing 33 years of industry experience. He has been with UBS since 2006. Outside of his advisory work, he serves on the board of directors for Bolder Option, a youth mentorship organization. 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 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
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Douglas K

Series 63, Series 65

Wayzata, MN

UBS Financial Services

Douglas Kottke is a financial advisor with UBS Financial Services in Wayzata, MN, holding Series 63 and Series 65 licenses and bringing 27 years of industry experience. He has been with UBS Financial Services since 2005. UBS Financial Services Inc. serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, combining proprietary research and model-based asset allocations to tailor plans to clients’ goals and risk tolerances. The firm integrates institutional trading capabilities with wealth management services, including futures commission merchant operations and principal trading.

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

Benjamin B

Series 66

Wayzata, MN

UBS Financial Services

Benjamin Brinkman is a financial advisor with UBS Financial Services in Wayzata, MN. He holds a Series 66 designation and has one year of industry experience. Prior to joining UBS, he worked at Fulcrum and held roles with the Iowa Heartlanders, the University of Notre Dame, and the University of Minnesota. 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 client solutions.

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

Series 66

Wayzata, MN

UBS Financial Services

Kathryn Ripley is a financial advisor with UBS Financial Services in Wayzata, MN, holding a Series 66 designation and eight years of industry experience. Prior to joining UBS in 2022, she worked at Merrill from 2017 to 2022 and spent several years in roles at Luxottica, Target Optical. UBS Financial Services serves individual, corporate, and institutional clients with a range of brokerage and investment advisory services, combining institutional trading capabilities with wealth management offerings to deliver tailored financial plans based on proprietary research and market analysis.

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

Series 63

Wayzata, MN

UBS Financial Services

Nicole Hiller is a financial advisor at UBS Financial Services with 17 years of industry experience. She has been with UBS Financial Services since 2011 and holds a Series 63 designation. UBS Financial Services Inc. 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, supporting its advisors with proprietary research and a broad platform of capital markets and advisory solutions.

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

Natalie K

Series 66

Wayzata, MN

UBS Financial Services

Natalie Knutson is a financial advisor at UBS Financial Services in Orono, MN, holding a Series 66 designation with 11 years of industry experience. She has been with UBS since 2014. Outside of her advisory work, she serves on the board of directors for Children’s Workshop Montessori School, a facility serving young children. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings. The firm combines institutional trading capabilities with wealth management services, delivering tailored financial plans and portfolio management supported by proprietary research.

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