Thaughts on UBS?

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Jan 14, 2007 6:10 pm


Wirehouse jokes aside, does anyone have any thoughts on UBS?  If memory serves, did they not enter the US market by purchasing Paine Weber?  How has that culture been translated? 

Interview with SB are going well, but I am conducting due diligence and interviewing with UBS also. 



Jan 14, 2007 6:22 pm


I should have qualified my question.  I have read repeatedly on this site that it is really a question of how I mesh with the management style in an office.  Based on my small business and Army experience, I get that, loud & clear. 

That said, how does corporate treat rookies?  What are the goals? How competitive are they?

I have heard that they do not let their FAs sign up accounts under $100K and they prefer north of $250K.  While I understand the efficiency of this policy, it would think that in the 1st year, any account is educational and would help me grow.  Also, people with $500K have kids & friends with $75K. 

Thanks again.


Jan 14, 2007 8:41 pm

I’ll tell you Tuesday after my first day at UBS here in Baltimore . . . interview process was pretty tedious but well worth it since I wanted UBS above all other firms I interviewed with.

Jan 14, 2007 10:32 pm

I am starting at UBS on Tuesday as well. I cant answer all the questions but I dont think there are account minimums. ML from my understanding has 100,000 minimums but at the same time it is probably a good policy to not take accounts under that level at UBS in order to meet your AUM goals. My opinion is that from a corporate standpoint UBS, ML, SB are all the same as far as competition, goals etc. I made my decision based on management and office enviornment. I have talked with a few current and ex-advisors from ML and they had really good things to say about UBS. In fact a successful advisor at ML told me that if he had to pick another firm that was close to what he believed ML had to offer he would choose UBS. I interviewed with UBS, ML, and SB and had a good experience with all of them.

Jun 11, 2007 7:10 pm

Hello DMAN, If you started with UBS in January, how is it going so far? Were you a transfer broker? If so, what kind of incentive package did UBS offer? I am meeting with a UBS branch manager this week to consider transferring there. Any comments would be appreciated.