Futures Commission Merchant (FCM) Information for UBS Financial Services Inc. Statement of Financial Condition- UBS FSI of Puerto Rico (PDF). Commodity Futures Trading Commission (CFTC) and offers brokerage services related to the execution and clearing of on-exchange futures and options on futures products. is also registered as a Futures Commission Merchant (FCM) with the U.S. Wealth management services in the United States are provided by UBS Financial Services Inc., a registered investment advisor and broker-dealer offering securities, trading, brokerage and related products and services. All rights reserved. The key symbol and UBS are among the registered and unregistered trademarks of UBS. Please consult the sales restrictions relating to the service in question for further information. Working on a corporate diversity commitment, Chief Legal Officer Theodore Levine and his senior management team have developed highly effective initiatives to incorporate diversity into the fabric of its legal division. Products and services mentioned on these web pages may not be available for residents of certain nations. UBS PaineWebber has set diversity as a priority. For more information, please review client relationship summary provided at, or ask your UBS Financial Advisor for a copy. It is important that you understand the ways in which we conduct business, and that you carefully read the agreements and disclosures that we provide to you about the products or services we offer. Investment advisory services and brokerage services are separate and distinct, differ in material ways and are governed by different laws and separate arrangements. 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. Legal Information Important information about brokerage and advisory services.Īs a firm providing wealth management services to clients, UBS Financial Services Inc.
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