# UBS Financial Services
Source: https://planprovider.pro/provider/ubs-financial-services-inc

> Founded in 1862, UBS Financial Services Inc. runs its retirement plan offering through its Wealth Management division, with Workplace Wealth Solutions (WWS)…

Retirement Plan Advisor

Weehawken, NJ

## About UBS Financial Services

<p>Founded in 1862, UBS Financial Services Inc. runs its retirement plan offering through its Wealth Management division, with Workplace Wealth Solutions (WWS) and Retirement Plan Services (RPS) as key groups. Headquartered in Weehawken in the New York City metro area, the firm works with plan sponsors across the U.S.</p>

<p>UBS operates as a broker-dealer and is affiliated with registered investment advisors. For workplace retirement plans, it supports sponsor decision-making and participant outcomes with a mix of fiduciary services and education programs.</p>

<p>Plan sponsors can engage UBS in a 3(21) fiduciary role or appoint it as a 3(38) investment manager. UBS also provides participant advice and compliance support tied to ongoing plan oversight. As of 2026, UBS reports 2,500 clients and $3,800.0B in assets under management.</p>

<p>What sets UBS apart is the way it combines a large wealth management platform with dedicated workplace retirement teams under WWS and RPS.</p>

<ul>
<li>3(38) investment manager services</li>
<li>3(21) fiduciary support</li>
<li>Participant advice and financial wellness programs</li>
<li>Compliance support for plan sponsors</li>
<li>Retirement plan services through WWS and RPS</li>
</ul>

Website: [https://www.ubs.com/us/en/wealth-management/our-solutions/companies-organizations/retirement-plan-services.html](https://www.ubs.com/us/en/wealth-management/our-solutions/companies-organizations/retirement-plan-services.html)

Founded: 1862

Employees: 105132

## Office Locations

- Weehawken, NJ (Headquarters)

## Services Offered

- 3(38) Investment Manager

- Participant Investment Advice

- Compliance Services

- 3(21) Investment Advisor

## Client Statistics (2026)

- Total Clients: 2,500

- Total AUM: $3800.0B

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