Winter Haven, FL 1st Street South 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
295 1st Street South
Winter Haven FL 33880
Advisors at this office
5
Advisors at this office
Amy G
CFP®, Series 66
Winter Haven, FL
UBS Financial Services
Amy Garbrecht is a CFP® and holds a Series 66 license with 20 years of experience in the financial services industry. She has been with UBS Financial Services Inc. since 2008. UBS Financial Services Inc. serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, including financial planning, portfolio management, and distribution of mutual funds and alternative products. The firm combines institutional trading capabilities with wealth management services, supported by proprietary research and data analytics.
Mark W
Series 66
Winter Haven, FL
UBS Financial Services
Mark Williams is a financial advisor with UBS Financial Services in Winter Haven, FL, holding a Series 66 designation and 22 years of industry experience. He has been with UBS since 2008. 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 provides a broad range of capital markets and research resources to its clients.
Deborah S
Series 63, Series 65
Winter Haven, FL
UBS Financial Services
Deborah Swenson is a financial advisor at UBS Financial Services with 40 years of industry experience. She holds Series 63 and Series 65 designations and has been with UBS since 2012. UBS Financial Services Inc. serves individual, corporate, and institutional clients through brokerage and investment advisory offerings, including financial planning, portfolio management, and access to mutual funds and alternative products. 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.
Rachel L
Series 63, Series 65
Winter Haven, FL
UBS Financial Services
Rachel Lobdell is a financial advisor at UBS Financial Services with 26 years of industry experience. She has been with UBS since 2008 and holds Series 63 and Series 65 licenses. Outside of her advisory role, she is connected to WealthEnV LLC, a technology and media company developing a video game focused on financial literacy, though she does not have an active role in the company. UBS Financial Services serves individual, corporate, and institutional clients through brokerage and investment advisory offerings. The firm combines proprietary research and model-based asset allocations to tailor client plans and provides a range of services including financial planning, portfolio management, and capital markets activities.
Eric J
CFP®, Series 66
Winter Haven, FL
UBS Financial Services
Eric Johnson is a CFP® and holds a Series 66 license with 24 years of industry experience. He has been with UBS Financial Services since 2008. Outside of his advisory role, he serves on the Board of Trustees for the Alpha Tau Omega Fraternity at the University of Florida and is a member of the finance committee on the Board of Directors for Sea Turtle Care and Conservation Specialists Corporation. 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 model-based asset allocations and proprietary research to tailor financial plans to clients’ goals and risk tolerances.
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