BrokerCheck.org is maintained by the Financial Industry Regulatory Authority (FINRA), which oversees the firms that sell stocks, bonds, mutual funds and other securities. The website provides information regarding individuals who are registered with FINRA as a broker and/or with the Securities and Exchange Commission as an investment adviser. UBS Financial Services Inc.’s Financial Advisors hold one or both of these registrations.
Specifically, for each registered individual, BrokerCheck lists his/her employment history; certifications and licenses; certain disclosable events including client complaints and settlements; and regulatory actions, if applicable. Information is also available about the firm which employs the individual.
Please note that BrokerCheck does not tell you FINRA's opinion of a Financial Advisor, provide recommendations, nor does it predict how well your money will be managed.