UBS Financial Services Inc. offers investment advisory services in its capacity as an SEC-registered investment adviser and brokerage services in its capacity as an SEC-registered broker-dealer.

As a firm providing wealth management services to clients, UBS Financial Services Inc. offers investment advisory services in its capacity as an SEC-registered investment adviser and brokerage ...

On January 13, the SEC published to the Federal Register a final amendments to Rule 15c3-3 – the Broker-Dealer Customer Protection Rule – to ...

Lack of freedom and limited investment choices may be driving advisors at broker-dealers to leave their firms this year.

Choosing which broker-dealer to affiliate with is one of the biggest decisions you'll make as an independent financial advisor. The right broker-dealer will provide the technology, platforms and ...

The Securities and Exchange Commission has announced multi-million dollar penalties for investment advisors and broker dealers, mostly resulting from record-keeping failures. A combined $63.1 ...