Important notices

 
 

Currently recognized and permitted third party ratings

Barron’s

Barron's Top 100 Financial Advisors

Barron’s Top 100 criteria are based on assets under management, revenue produced for the firm, industry length of service, regulatory record, quality of practice and philanthropic work. Portfolio performance is not a criterion because most advisors do not have audited track records. Neither UBS Financial Services Inc. or its employees pay a fee in exchange for these rankings. Past performance is not a guarantee of future results. Barron’s is a registered trademark of Dow Jones & Co. UBS has paid the ratings agency for advertising.

Barron's Top 1200 Financial Advisors

Barron’s Top 1200 criteria are based on assets under management, revenue produced for the firm, regulatory record, quality of practice and philanthropic work. Portfolio performance is not a criterion because most advisors do not have audited track records. Neither UBS Financial Services Inc. or its employees pay a fee in exchange for these rankings. Past performance is not a guarantee of future results. Barron’s is a registered trademark of Dow Jones & Co. UBS has paid the ratings agency for advertising.

Barron's Top 100 Women Financial Advisors

Barron’s Top 100 Women Financial Advisors is based on assets under management, revenue produced for the firm, industry length of service, regulatory record, and quality of practices and philanthropic work. Portfolio performance is not a criterion because most advisors do not have audited track records. Neither UBS Financial Services Inc. or its employees pay a fee in exchange for these rankings. Past performance is not indicative of future results. Barron’s is a registered trademark of Dow Jones & Co. UBS has paid the ratings agency for advertising.

Barron's Hall of Fame

Achieved Barron’s Hall of Fame advisor status in [year]. Barron’s Hall of Fame advisors have been ranked for 10 or more years on one of the following lists: Barron’s Top 100 Financial Advisors or Barron’s Top 100 Women Financial Advisors. UBS has paid the ratings agency for advertising.

Barron's Top 100 Institutional Consulting Teams (formerly Barron’s Top 50 IC Teams)

The teams in this ranking were evaluated on a range of criteria, including institutional investment assets, revenue generated by those assets, the number of clients served by the team, number of team members, professional designations and compliance record. Neither UBS Financial Service Inc. or its employees pay a fee in exchange for these rankings. Past performance is not indicative of future results. Barron's is a trademark of Dow Jones & Co. UBS has paid the ratings agency for advertising.

Barron’s Top 250 Private Wealth Management Teams (formerly Barron’s Top 100 Private Wealth Advisory Teams)

Barron's Top 250 Private Wealth Management Teams, is based on assets under management, revenue produced for the firm, regulatory record, quality of practice and philanthropic work. Portfolio performance is not a criterion because most advisors do not have audited track records. Neither UBS Financial Services Inc. or its employees pay a fee in exchange for these rankings. Past performance is not a guarantee of future results. Barron’s is a registered trademark of Dow Jones & Co. UBS has paid the ratings agency for advertising.

Barron’s 100 Most Influential Women in U.S. Finance

Nominees are assessed by a Barron's editorial panel based on their achievements, influence, and leadership within their organization and industry sector, and their capacity to shape their business or industry in the future.

Financial Planning

Financial Planning’s Top 40 Brokers Under 40

The Financial Planning’s Top 40 Brokers Under 40 is an independent listing produced annually by Financial Planning magazine. The ranking is based on data gathered from Advisors and reflects each Advisor’s status in the following areas: Assets Under Management (AUM), Trailing-12 production and age. In addition, UBS Financial Service Inc. confirms the FA is in good standing from a Firm compliance perspective. Neither UBS Financial Service Inc. or its employees pay a fee in exchange for inclusion in the Financial Planning’s Top 40 Brokers Under 40. UBS has paid the ratings agency for advertising.

Forbes

Forbes America’s Top Wealth Management Teams (Private Wealth & High-Net Worth)

Forbes America’s Top Wealth Management Teams ranking was developed by SHOOK Research and is based on in-person, virtual and telephone due diligence meetings and a ranking algorithm that includes: a measure of each team’s best practices, client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including: assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and team, and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. For more information, please see www.SHOOKresearch.com. SHOOK is a registered trademark of SHOOK Research, LLC. UBS has paid the ratings agency for advertising.

Forbes America’s Top Wealth Management Teams Best-in-State

Forbes Best-in-State Wealth Management Teams ranking was developed by SHOOK Research and is based on in-person, virtual and telephone due diligence meetings and a ranking algorithm that includes: a measure of each team’s best practices, client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including: assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and team, and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. For more information, please see www.SHOOKresearch.com. SHOOK is a registered trademark of SHOOK Research, LLC. UBS has paid the ratings agency for advertising.

Forbes America’s Top Wealth Advisors

America’s Top Wealth Advisors ranking was developed by SHOOK Research and is based on in-person, virtual and telephone due diligence meetings and a ranking algorithm that includes: a measure of best practices, client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including: assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. For more information, please see www.SHOOKresearch.com. SHOOK is a registered trademark of SHOOK Research, LLC. UBS has paid the ratings agency for advertising.

Forbes America’s Top Next-Gen (Generation) Wealth Advisors

SHOOK considered advisors born in 1984 or later with a minimum 4 years as an advisor. Advisors have: built their own practices and lead their teams; joined teams and are viewed as future leadership; or a combination of both. Ranking algorithm is based on qualitative measures: telephone, virtual and in-person interviews to measure best practices, client retention, industry experience, credentials, review of compliance records, firm nominations; and quantitative criteria, such as: assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. For more information, please see www.SHOOKresearch.com. SHOOK is a registered trademark of SHOOK Research, LLC. UBS has paid the ratings agency for advertising.

Forbes America’s Top Next-Gen (Generation) Wealth Advisors Best-in-State

SHOOK considered advisors born in 1984 or later with a minimum 4 years as an advisor. Advisors have: built their own practices and lead their teams; joined teams and are viewed as future leadership; or a combination of both. Ranking algorithm is based on qualitative measures: telephone, virtual and in-person interviews to measure best practices, client retention, industry experience, credentials, review of compliance records, firm nominations; and quantitative criteria, such as: assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. For more information, please see www.SHOOKresearch.com. SHOOK is a registered trademark of SHOOK Research, LLC. UBS has paid the ratings agency for advertising.

Forbes America’s Top Women Wealth Advisors

America’s Top Women Advisors ranking was developed by SHOOK Research and is based on in-person, virtual and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes: client impact, industry experience, review of best practices and compliance records, firm nominations; and quantitative criteria, including: assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. For more information, please see www.SHOOKresearch.com. SHOOK is a registered trademark of SHOOK Research, LLC. UBS has paid the ratings agency for advertising.

Forbes America’s Top Women Wealth Advisors Best-in-State

America’s Top Women Advisors ranking was developed by SHOOK Research and is based on in-person, virtual and telephone due diligence meetings to evaluate each advisor qualitatively, a major component of a ranking algorithm that includes: client impact, industry experience, review of best practices and compliance records, firm nominations; and quantitative criteria, including: assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. For more information, please see www.SHOOKresearch.com. SHOOK is a registered trademark of SHOOK Research, LLC. UBS has paid the ratings agency for advertising.

Forbes Best-in-State Wealth Advisors

Forbes Best-in-State Wealth Advisors ranking was developed by SHOOK Research and is based on in-person, virtual, and telephone due diligence meetings to measure best practices; also considered are: client retention, industry experience, credentials, review of compliance records, firm nominations; and quantitative criteria, such as: assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. SHOOK’s research and rankings provide opinions intended to help investors choose the right financial advisor and are not indicative of future performance or representative of any one client’s experience. Past performance is not an indication of future results. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. For more information, please see www.SHOOKresearch.com. SHOOK is a registered trademark of SHOOK Research, LLC. UBS has paid the ratings agency for advertising.

Invest in Others

Invest in Others

The Invest in Others Awards program is run by the Invest in Others Charitable Foundation, a fully independent 501(c)(3) public charity. To be considered for the Invest in Others Awards, individuals must be currently working as financial planners (e.g., CFP®), registered representatives (e.g., Series 7), or registered investment advisors; they must be registered with FINRA or the SEC for at least 3 years, and the registration must be active. They also must spend at least 75% of their work time providing financial consultation with clients. They must be a current volunteer with a U.S.-based 501(c)(3) nonprofit organization, and have volunteered with the organization for at least three years on an ongoing basis (20 years for the Lifetime Achievement Award). Nominations undergo multiple rounds of review and are considered based on quantitative and qualitative measures relating to the advisor’s service to the nonprofit, including his or her dedication, contribution, leadership, inspiration, and impact. Fundraising efforts and personal donations are also one of many considerations during the review process. Job and investment performance are not criteria. Information pertaining to the advisor’s name, firm, and broker-dealer/custodian is redacted throughout the judging process to maintain impartiality. Invest in Others does not receive compensation in exchange for placement as an honorable mention, finalist and/or winner.

Catalyst Award: Presented to an advisor who has been an active stimulus for positive change and displayed entrepreneurial vision and leadership to a nonprofit organization for at least 3 years. This may involve rejuvenating an organization from failing to thriving, or helping to launch a new nonprofit organization.

Community Service Award: Presented to an advisor who has made an outstanding impact on a community through leadership contributions to a nonprofit organization for at least 3 years. He or she has not only contributed to the long-term sustainability of the nonprofit, but also has an established record of motivating and inspiring others. This includes serving with distinction as a fundraiser, board member, or other executive position.

Volunteer of the Year Award: Presented to an advisor who has made a significant impact on a nonprofit as a volunteer of at least 3 years by working hands-on and giving of their time, talent, and energy to make a lasting impact on the organization, those it serves, and the community at large.

Lifetime Achievement Award: Presented to an advisor who has made a profound contribution to a non-profit organization through an established history of distinguished service, where he or she exhibited leadership, provided inspiration, and gained recognition and respect from peers and the community over a period of at least 20 years, helping the organization evolve and creating a lasting impact on the future of the organization.

NAPA

NAPA Top 100 Retirement Plan Advisors Under 40

NAPA Top 100 Retirement Plan Advisors Under 40 was drawn from nominations provided by NAPA BD/RIA Firm Partners based on a review of nominee applications by a panel of judges selected by the National Association of Plan Advisors (NAPA). The finalists are reviewed based on pre-determined quantitative and qualitative data such as experience, book of business, industry leadership and compliance history. Neither UBS Financial Services or its employees pay a fee in exchange for these rankings. Past performance is not indicative of future results.

NAPA Top DC Advisor Teams by AUA

NAPA Top Defined Contribution Advisor Teams by Assets Under Advisement is based solely on self-reported quantitative data related to “assets under advisement”. AUA is defined as total plan asset values that the FA team advises on. These assets are generally held away from UBS at 3rd party plan providers. Because this recognition is based solely on this quantitative figure, there is no judging or subjective measurement. UBS conducts a compliance good standing review prior to approving an employee to participate in this accolade. Neither UBS Financial Services Inc. nor its employees pay a fee in exchange for this ranking. Past performance is not indicative of future results.

NAPA Top Women Advisors

NAPA Top Women Advisors (aka NAPA Top Women Retirement Plan Advisors) criteria was based on input from the judges’ panel and editorial team. Drawn from nominations provided by NAPA BD/RIA Firm Partners based on a review of nominee applications by a panel of judges selected by the NAPA. The finalists are reviewed based on pre-determined quantitative and qualitative data such as experience, book of business, industry leadership and compliance history. Neither UBS Financial Services or its employees pay a fee in exchange for these rankings. Past performance is not indicative of future results.

NAPA Top DC Advisor Multi-Office Firms

NAPA Top Defined Contribution Advisor Multi-Office Firms is based solely on self-reported quantitative data related to “assets under advisement”. AUA is defined as total retirement plan asset values that the firm advises on. These assets are generally held away from UBS at 3rd party plan providers. Because this recognition is based solely on this quantitative figure, there is no judging or subjective measurement. UBS conducts a compliance good standing review prior to approving an employee to participate in this accolade. Neither UBS Financial Services Inc. nor its employees pay a fee in exchange for this ranking. Past performance is not indicative of future results.

PLANADVISER

PLANADVISER Top Retirement Plan Advisers

The PLANADVISER Top Retirement Plan Advisers award is based solely on self-reported quantitative data about an adviser’s practice, including number of retirement plan assets under advisement, number of plans under advisement, and percentage of business coming from defined benefit, 403(b), nonqualified plans and other plan types. Because this recognition is based solely on quantitative figures, there is no judging or subjective measurement. Neither advisory firms nor their employees pay a fee in exchange for this award. UBS has paid the ratings agency for advertising.

PLANADVISER Retirement Plan Adviser of the Year

The PLANADVISER Retirement Plan Adviser of the Year awards (and finalists) are based on a mixture of qualitative and quantitative measures, including tenure in the business, focus on retirement plan business as a percentage of practice revenue, willingness to serve in a fiduciary role to clients plans, and a review of essay answers and compliance records. These criteria are utilized for each of the six categories: Plan Sponsor Service; Plan Participant Service; Mentorship; Efforts in Diversity, Equity, and Inclusion (DEI); Community Impact and Giving Back; and Closing the Coverage Gap. Finalists are also subjected to interviews with judges from across the industry and the PLANADVISER editorial team. While there is ultimately one winner in each of the six categories, three to five finalists are named each year in each category. Neither advisory firms nor their employees pay a fee in exchange for this award. UBS has paid the ratings agency for advertising.
J.D. Power U.S. Full-Service Investor Satisfaction Study

The J.D. Power U.S. Full-Service Investor Satisfaction Study is a syndicated benchmarking study profiling the experiences of investors working with a full-service wealth management firm. Responses were collected using an online methodology via multiple consumer panel sources. Using more than one panel source allows for a more accurate representation of the total universe of full-service investors.

The target respondents for this study are full-service investors, defined as those who work directly with a dedicated financial advisor, or team of advisors, to manage their primary investment account.

Seramount

100 Best Places to Work for Working Mothers

Each year UBS is ranked against the other companies on the list on different topics related to working mothers (categories change slightly each year) but include our representation of female employees, paid time off and leave, benefits and childcare, recruitment, retention, and advancement, flexible work, and company culture and advancement. UBS submits data on over 100 questions in each category and we are ranked in each category based on how other companies answered. The overall ranking is then determined by our score in each subsequent category, and if we made the top 100, then we receive the accolade as "top 100 company"

Best Places to Work for Multicultural Women

UBS is ranked against the other companies on the list on different topics related to working mothers (categories change slightly each year) but include our representation of female employees, recruitment, retention, and advancement, flexible work, and company culture and advancement. UBS submits data on over 100 questions in each category and we are ranked in each category based on how other companies answered. The overall ranking is then determined by our score in each subsequent category, and if we made the top 80, then we receive the accolade as "top company for multicultural women".

Group 5

The Group Five 2021 Equity Compensation Administration and Financial Reporting Benchmarking Study, is a survey conducted annually and includes ratings from over 1,000 plan sponsors of their satisfaction with outside plan administration services. There are 16 rated categories, among them: Executive services, Overall satisfaction with international plan participant experience, Loyalty and Overall satisfaction for financial reporting services. The annual Group Five survey is the only independent forum for plan sponsors to make their opinions and priorities known to service providers.

Euromoney Awards for Excellence

The Euromoney's Awards for Excellence: Global Submissions for the awards were received by Euromoney from firms that provide wealth management services to clients on a global scale, combining excellence in advice, products, technology and innovation, as well as demonstrated growth in client assets and revenues and strong financial performance. Final choices were made by the Euromoney Editorial Committee after evaluations of qualitative factors and interviews with the submitting firms. Euromoney Awards for Excellence covers global categories, best in class awards in all regions and banks in close to 100 countries around the world.

Euromoney Private Banking and Wealth Management Surveys

The Euromoney's Awards for Excellence: Global Submissions for the awards were received by Euromoney from firms that provide wealth management services to clients on a global scale, combining excellence in advice, products, technology and innovation, as well as demonstrated growth in client assets and revenues and strong financial performance.
Once submissions have been received, Euromoney's team of editors, journalists and researchers undertake thorough analysis of their content. In conjunction with their own market knowledge and research, this is used to inform final decisions made by the Euromoney Editorial Committee.

PWM/The Banker Global Private Banking Awards

Private banks operating globally or in one or more of the following regions (Europe, Asia, North America, Middle East, Latin America and Africa) are asked provide growth and performance measures and information on key achievements, changes or improvements made during the year before in relation to their business and investment models, growth strategies, customer service, staff retention and other areas. Their executive summary should explain the reasons why the private bank deserves to win in the category/categories it has applied for.
The submissions are judged by an expert panel of 15 industry professionals based in North America, Asia, and Europe. A significant input in the evaluation of the quantitative aspects of the private banking groups is provided by the KPIs' analysis, carried out by PWM.

SRP Americas Awards

The Structured Retail Product (SRP) Americas Awards are based on an annual comprehensive survey of the market with institutions associated with structured products. Respondents vote for various awards under the manufacturer, service providers and others categories. The results are independently verified by SRP. Winners are also determined using the following methodology for certain categories:
- Manufacturer/carriers, distributor and private bank awards are in part based on SRP’s proprietary database and product data submissions by the contenders
- Private bank, service provider and other awards will involve a written 400-word submission with winners determined by a panel of independent judges.

SPi Awards

The Structured Products Intelligence (SPi) Awards are determined using independent data and submissions from participating companies disclosing achievements, innovations, and
performances over the past 12 months. The winner of SPi’s “Awards for Excellence” is determined to be outstanding in all categories. Market share is considered as well as an ability to demonstrate growth, relative outperformance compared to other participants, and adapt to changing market conditions and client needs, including innovations.

Equal Salary Certification

The EQUAL-SALARY certification, which is awarded by EQUAL-SALARY Foundation, is a process that allows companies to verify and communicate that they pay their female and male employees equally for the same job or for job of the same value. It is aimed at companies in all countries and across all industries with 50 or more employees (of which at least 10 are women) that are committed to closing the wage gap. The EQUAL-SALARY Foundation collects employee compensation data securely and anonymously. It is then analyzed to see if the statistical wage difference between females and males is less than or equal to 5%, and if the R-squared value is greater than or equal to 90%. Following international quality standards, an independent auditing team makes sure EQUAL-SALARY requirements are met through an assessment of management’s commitment to equal pay between men and women, how well equal pay strategies are integrated into the HR processes and policies, and employees’ perception of the company’s pay practices. If the organization meets the requirements outlined in the statistical compensation analysis and on-site review, the EQUAL-SALARY certificate is awarded by the EQUAL-SALARY Foundation.

CDP Climate Change

The CDP Climate Change scoring methodology is a means to assess a company’s progress towards environmental stewardship as communicated through their CDP response. Application of the methodology results in a score, which assesses the level of detail and comprehensiveness of the content, as well as the company's awareness of climate change issues, management methods and progress towards action taken on climate change as reported in the response.
 

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Archived disclosures

General disclosure

Accolades are independently determined and awarded by their respective publications. Accolades can be based on a variety of criteria including assets under management, revenue, compliance record, length of service, client satisfaction, type of clientele and more. Neither UBS Financial Services Inc. nor its employees pay a fee in exchange for these ratings. Past performance is no guarantee of future results. For more information on a particular rating, please visit ubs.com/us/en/designation-disclosures.

As a firm providing wealth management services to clients, UBS Financial Services Inc. offers both investment advisory services and brokerage services. Investment advisory services and brokerage services are separate and distinct, differ in material ways and are governed by different laws and separate arrangements. It is important that clients understand the ways in which we conduct business and that they carefully read the agreements and disclosures that we provide to them about the products or services we offer. For more information visit our website at ubs.com/workingwithus.

Barron's Top Women Financial Advisors

Barron’s Top Women Advisors is based on assets under management, revenue and quality of practices. Investment performance isn’t an explicit component because not all advisors have audited results. Neither UBS Financial Services Inc. or its employees pay a fee in exchange for these rankings. Past performance is not indicative of future results. Barron’s is a registered trademark of Dow Jones & Co.

Barron's Top 50 Institutional Consulting Teams

The teams in this ranking were evaluated on a range of criteria, including institutional investment assets, revenue generated by those assets, the number of clients served by the team, number of team members, professional designations and compliance record. Neither UBS Financial Service Inc. or its employees pay a fee in exchange for these rankings. Past performance is not indicative of future results. Barron's is a trademark of Dow Jones & Co.

Barron’s Top 50 Private Wealth Management Teams

Barron's Top 50 Private Wealth Management Teams is based on assets under management, revenue produced for the firm, regulatory record, quality of practice and philanthropic work. Portfolio performance is not a criterion because most advisors do not have audited track records. Neither UBS Financial Services Inc. or its employees pay a fee in exchange for these rankings. Past performance is not a guarantee of future results. Barron’s is a registered trademark of Dow Jones & Co.

Financial Times Top 100 Women Financial Advisors

To qualify for the Financial Times Top 100 Women Financial Advisors, advisors met a minimum requirement of being a woman, having 10 or more years of experience as an advisor and at least $200 million in assets under management (AUM). Finalists are chosen based on research done by the Financial Times staff, AUM, AUM growth and years of experience. Neither UBS Financial Service Inc. or its employees pay a fee in exchange for these ratings. 

Financial Times 400 Top Financial Advisers

The Financial Times 400 Top Financial Advisors is an independent listing produced annually by the Financial Times (FT). The FT 400 is based on data gathered from advisors, broker-dealer home offices, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in six primary areas: assets under management (AUM), asset growth, compliance record, experience, credentials and online accessibility. This award does not evaluate the quality of services provided to clients and is not indicative of this advisor’s future performance. Neither UBS Financial Service Inc. or its employees pay a fee in exchange for inclusion in the FT 400.

Financial Times 401 Top Retirement Advisors 

The Financial Times 401 Top Retirement Advisors is an independent listing produced annually by the Financial Times (FT). The FT 401 is based on data gathered from advisors, regulatory disclosures, and the FT’s research. The listing reflects each advisor’s status in six primary areas: DC plan assets under management, DC plan growth rate, specialization in DC plans, years of experience, advanced industry credentials, and compliance record. This honor is not indicative of the advisor’s future performance. Neither UBS Financial Services Inc. or its employees pay a fee in exchange for inclusion in the FT 401.

Forbes America’s Best Wealth Management Teams

Forbes America’s Best Wealth Management Teams ranking was developed by SHOOK Research and is based on in-person, virtual, and telephone due diligence meetings to measure best practices, client retention, industry experience, credentials, review of compliance records, firm nominations; and quantitative criteria, such as: assets under management and revenue generated for their firms. Past performance is not an indication of future results. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. Rankings are based on the opinions of SHOOK Research, LLC and not indicative of future performance or representative of any one client’s experience.

Forbes/SHOOK Top Wealth Advisors 

Forbes/SHOOK Top Wealth Advisors criteria is based on quality of practice, industry experience, compliance record, assets under management, revenue and algorithm results by SHOOK Research. Although neither UBS Financial Service Inc. or its employees pay a fee in exchange for these ratings, UBS may hire RJ Shook to be a speaker for events. Past performance is not an indication of future results.

Forbes/SHOOK Top Next-Gen (Generation) Wealth Advisors 

Forbes/SHOOK Top Next-Gen (Generation) Wealth Advisors list is comprised of approximately 500 Financial Advisors and uses criteria based on age, quality of practice, industry experience, compliance record, revenue, interviews by SHOOK Research and the full team assets under management (which vary from state to state). Although neither UBS Financial Service Inc. or its employees pay a fee in exchange for these ratings, UBS may hire RJ Shook to be a speaker for events. Past performance is not an indication of future results.

Forbes/SHOOK Top Women Wealth Advisors

Forbes/SHOOK Top Women Wealth Advisors list is comprised of 1,000 women advisors. The list was developed by SHOOK Research and is based on in-person and telephone due diligence meetings to measure factors such as: quality of practice, industry experience, compliance record, assets under management and revenue. Although neither UBS Financial Service Inc. or its employees pay a fee in exchange for these ratings, UBS may hire RJ Shook to be a speaker for events. Past performance is not an indication of future results. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. Rankings are based on the opinions of SHOOK Research, LLC and not indicative of future performance or representative of any one client’s experience.

Forbes/SHOOK Best-in-State Wealth Advisors 

Forbes/SHOOK Best-in-State Wealth Advisors list is comprised of approximately 5,000 financial advisors. It was developed by SHOOK Research and is based on in-person and telephone due diligence meetings to measure factors such as: quality of practice, industry experience, compliance record, assets under management (which vary from state to state) and revenue. Although neither UBS Financial Service Inc. or its employees pay a fee in exchange for these ratings, UBS may hire RJ Shook to be a speaker for events. Past performance is not an indication of future results. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. Rankings are based on the opinions of SHOOK Research, LLC and not indicative of future performance or representative of any one client’s experience.

NABCAP

Premier Advisor award is based on the evaluation of 20 different practice categories such as experience, credentials, assets under management, fee structure, and philosophy among other factors.

NAPA Leadership award

The NAPA Leadership award is based on nominations provided to a task force from NAPA. The finalists are reviewed based on pre-determined quantitative and qualitative characteristics, business focus, experience level, demonstrated leadership and compliance record. Neither UBS Financial Services Inc. nor its employees pay a fee in exchange for this award.

PLANADVISER Top 100 Retirement Plan Advisers

The PLANADVISER Top 100 Retirement Plan Advisers award is based solely on self-reported quantitative data about an adviser’s practice, including number of retirement plan assets under advisement, number of plans under advisement, and percentage of business coming from defined benefit, 403(b) and nonqualified plans. Because this recognition is based solely on quantitative figures, there is no judging or subjective measurement. Neither UBS Financial Services Inc. nor its employees pay a fee in exchange for this award.

PLANSPONSOR Retirement Plan Adviser of the Year

The PLANSPONSOR Retirement Plan Adviser of the Year awards (and finalists) are based on a mixture of qualitative and quantitative measures, including tenure in the business, focus on retirement plan business as a percentage of practice revenue, willingness to serve in a fiduciary role to clients plans, and a review of essay answers and compliance records. While there is ultimately one winner, approximately 20 finalists are named each year. Neither UBS Financial Services Inc. nor its employees pay a fee in exchange for this award.

REP. magazine and WealthManagement.com's Top 100 Wirehouse Advisors

REP. magazine and WealthManagement.com's Top 100 Wirehouse Advisors is based on assets under management. Only advisors for whom 60 percent or more of assets correspond to retail clients were eligible for the list. Neither UBS Financial Service Inc. or its employees pay a fee in exchange for these ratings. Past performance is not indicative of future results.

REP. magazine and WealthManagement.com "Top 40 Wirehouse Advisors Under 40"

Based on assets under management. Neither UBS Financial Services Inc. nor its employees pay a fee in exchange for these ratings. Past performance is not indicative of future results.

REP. magazine and WealthManagement.com "Top 50 Wirehouse Women"

REP. magazine and WealthManagement.com's Top 50 Wirehouse Women is based on assets under management. Only advisors for whom 60 percent or more of assets correspond to retail clients were eligible for the list. Neither UBS Financial Service Inc. or its employees pay a fee in exchange for these ratings. Past performance is not indicative of future results.

RP Registered ParaplannerSM or RP®

Registered ParaplannerSM and RP® are registered service marks of the College for Financial Planning®.

Working Mother and SHOOK Research Top Wealth Advisor Moms

Working Mother and SHOOK Research Top Wealth Advisor Moms is comprised of 300 financial advisors. The criteria is based on quality of practice, industry experience, working mother status, compliance record, assets under management, revenue and algorithm results by SHOOK Research. Neither UBS Financial Service Inc. or its employees pay a fee in exchange for these ratings. Past performance is not an indication of future results.

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Industry designations

AAMSTM Accredited Asset Management SpecialistSM

Accredited Asset Management Specialist and AAMSTM are registered service marks of the College for Financial Planning®.

ADPATM Accredited Domestic Partnership AdvisorSM

Accredited Domestic Partnership AdvisorSM or ADPATM are registered trademarks owned by the College for Financial Planning and may not be used without the express written consent of the College.

AIF® Accredited Investment Fiduciary®

Designation does not imply assumption of fiduciary responsibility

APMATM Accredited Portfolio Management AdvisorSM

AWMATM Accredited Wealth Management AdvisorSM

Accredited Wealth Management AdvisorSM or AWMATM are registered trademarks owned by the College for Financial Planning and may not be used without the express written consent of the College.

Certified Divorce Financial Analyst® (CDFA®): No specific disclosure required.

Certified Equity Professional (CEP): No specific disclosure required.

Certified Exit Planner Advisor (CEPA®): No specific disclosure required.

CFP® CERTIFIED FINANCIAL PLANNERTM

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the CFP® certification mark, the CERTIFIED FINANCIAL PLANNER™ certification mark, and the CFP® certification mark (with plaque design) logo in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

CFSTM Certified Fund SpecialistTM

Certified Fund SpecialistTM or CFSTM are registered trademarks of the Institute of Business & Finance.

CIMA® Certified Investment Management Analyst 

CIMA® is a registered certification mark of Investment Management Consultants Association Inc. doing business as Investments & Wealth Institute® in the United States of America and worldwide.

CIMC® Certified Investment Management Consultant

CIMC® is a registered certification mark of the Investments and Wealth Institute, formerly IMCA, in the United States of America and worldwide.

CPFA® Certified Plan Fiduciary Advisor

Designation does not imply assumption of fiduciary responsibility

CPM® Certified Portfolio Manager®

CPM® and Certified Portfolio Manager® are trademarks owned by the Academy of Certified Portfolio Managers

CPWA® Certified Private Wealth Advisor®

Investments & Wealth Institute™ (The Institute) is the owner of the certification marks “CIMA,” “Certified Investment Management Analyst,” “CPWA,” and “Certified Private Wealth Advisor.” Use of CIMA, Certified Investment Management Analyst, CPWA, and/or Certified Private Wealth Advisor signifies that the user has successfully completed The Institute’s initial and ongoing credentialing requirements for investment management professionals and/or wealth advisors.

Certified Trust and Financial Advisor (CTFA)

The certification mark, as used by authorized persons, certifies that the persons displaying the mark have met established educational and work experience requirements, agree to abide by the stated ethical requirements, and otherwise meet the minimum standards for knowledge and competency in the wealth management and trust profession.

C(k)P® Certified 401(k) Professional 

C(k)P® is a registered trademark of The Retirement Advisor University, Inc.

CWS® Certified Wealth Strategist®

CWS® Board of Standards owns the certification marks CWS®, Certified Wealth Strategist® and the federally registered CWS® logo in the U.S. Cannon Financial Institute Inc. owns the certification marks CWS®, Certified Wealth Strategist® and the federally registered CWS® logo in the U.S. This information does not constitute, and should not be treated as providing, tax, investment or legal advice regarding the use of any particular wealth management, estate planning or other techniques, devices, or suggestions, or any of the legal, tax or other consequences associated with them.

CAP® Chartered Advisor in Philanthropy®

CAP® is a trademark owned by the American College of Financial Services

CAIA® Chartered Alternative Investment Analyst®

CAIA and Chartered Alternative Investment Analyst are trademarks owned by the Chartered Alternative Investment Analyst Association.

CMT® Chartered Market Technician®

CMT® and Chartered Market Technician® are registered trademarks owned by CMT Association.

CFA Chartered Financial Analyst

CFA and Chartered Financial Analyst are trademarks owned by the CFA Institute.

Chartered Financial Consultant (ChFC): No specific disclosure required.

CLU® Chartered Life Underwriter®

CLU® and Chartered Life Underwriter® are registered service marks of The American College of Financial Services.

CMFC® Chartered Mutual Fund CounselorSM

Chartered Mutual Fund CounselorSM and CMFC® trademarks or federally registered service marks are owned by the College for Financial Planning and may not be used without the express written consent of the College.

CRPCTM Chartered Retirement Planning CounselorSM

Chartered Retirement Planning CounselorSM or CRPCTM are registered trademarks owned by the College for Financial Planning and may not be used without the express written consent of the College.

CRPSTM Chartered Retirement Plans SpecialistSM

Chartered Retirement Plans SpecialistSM and CRPSTM are registered service marks of the College for Financial Planning®.

Chartered Special Needs ConsultantTM (ChSNCTM): No specific disclosure required.

CSRIC® Chartered SRI CounselorTM

Chartered SRI Counselor(TM) and CSRIC® are trademarks or registered service marks of the College for Financial Planning in the United States and/or other countries.

LUTCF® Life Underwriter Training Council Fellow

The mark LUTCF is the property of The American College and may be used by individuals who have successfully completed the initial and ongoing certification requirements for this designation.

MPAS® Master Planner Advances StudiesSM 

Master Planner Advances StudiesSM or MPAS® are registered trademarks owned by the College for Financial Planning and may not be used without the express written consent of the College.

FPQPTM Financial Paraplanner Qualified Professional™ – [formerly known as Registered Paraplanner ("RP") prior to 1/31/18]

Financial Paraplanner Qualified ProfessionalSM or FPQPTM are registered trademarks owned by the College for Financial Planning and may not be used without the express written consent of the College.

Retirement Income Certified Professional (RICP): No specific disclosure required.

RMA® Retirement Management Advisor®

RMA® and Retirement Management Advisor® are trademarks of The Investment Management Consultants Association Inc., doing business as The Investments & Wealth Institute®.

IMCA®

IMCA® is the trademark of the Investments and Wealth Institute, formerly IMCA, and denotes the highest quality of standards and education for financial professionals.

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Industry recognitions

American Foreign Policy Association's Corporate Social Responsibility Award

Corporate Social Responsibility Award is presented to individuals and companies who are committed to good corporate citizenship in the communities they serve.

Euromoney's "Best Bank for Wealth Management" as part of the Awards for Excellence Global Awards

Submissions for the awards were received by Euromoney from firms that provide wealth management services to clients on a global scale, combining excellence in advice, products, technology and innovation, as well as demonstrated growth in client assets and revenues and strong financial performance. Final choices were made by the Euromoney Editorial Committee after evaluations of qualitative factors and interviews with the submitting firms. Euromoney Awards for Excellence covers global categories, best in class awards in all regions and banks in close to 100 countries around the world.

Euromoney's "Best Global Private Bank"

Based on latest year-on-year percentage change in the number of private banking clients; latest year-on-year percentage change in private banking gross revenue; latest year-on-year percentage change in private banking net income. The award was also based on nominations from frontline banking staff individual employees with a perspective on the relative merits and demerits of their banks and their competitors.

Euromoney's "Best Global Wealth Manager"

Based on latest year-on-year percentage change in the number of private banking clients; latest year-on-year percentage change in private banking gross revenue; latest year-on-year percentage change in private banking net income. The award was also based on nominations from frontline banking staff individual employees with a perspective on the relative merits and demerits of their banks and their competitors.

J.D. Power U.S. Financial Advisor Satisfaction Study

The 2014 J.D. Power U.S. Financial Advisor Satisfaction Study is based on responses of more than 3,900 financial advisors. The study was conducted between January and April 2014.

Scorpio Partnership's list of the world's biggest wealth managers

Scorpio Partnership Private Banking Benchmark 2014. Ranked by assets under management as of 12/31/13.

Thomson Reuters Extel Survey: #1 pan-European Equity House, #1 in Equity Sales and #1 in Equity trading and Execution.

Thomson Reuters Extel Europe study includes over 16,000 participants from 75 countries casting more than 700,000 individual votes. All rankings in Extel are based purely on weighted votes from the investment community.

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Internal UBS Recognitions

UBS Recognition Councils

UBS Financial Services Inc. Councils are a distinction held by UBS Financial Advisors based on criteria including evaluation of compliance with firm rules, standards & policies and revenue. Council membership is not representative of any one client's experience and is not indicative of the advisor’s future performance. Club Levels are differentiated by revenue set by percentages of the Financial Advisor population as follows: Pinnacle – Top 2.5%, Chairmans – Next 5%, President – Next 7.5%, and Director – Next 9%.

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E-mail disclaimer

Please visit https://financialservicesinc.ubs.com/wealth/E-maildisclaimer.html for additional important disclosures and information about our e-mail policies.

The information provided is intended for individuals residing in states where the Financial Advisor is properly registered as described on the profile page.

Neither UBS Financial Services Inc. not its Financial Advisors provide or tax or legal advice. Wealth management services in the United States are provided by UBS Financial Services Inc., a registered broker-dealer offering securities, trading, brokerage and related products and services, Member Securities Investor Protection Corporation (SIPC) and Member FINRA.

UBS reserves the right, to the extent permitted under applicable law, to retain and monitor all electronic communications. UBS will not accept purchase or sale orders via social media and/or its messaging systems. 

Material provided is for information purposes only and should not be used or construed as an offer to sell, or solicitation of an offer to buy nor recommend any security. Any commentaries, articles or other opinions herein are intended to be general in nature and for current interest. Some of the material may be supplied by companies not affiliated with UBS and is not guaranteed for accuracy, timeliness, completeness or usefulness and is not liable for responsible for any content advertising products or services.

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