UBS Financial Review

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UBS Financial Services brokerage customer reviews: complaints, feedback from clients, pros and cons. Is UBS good and safe?

UBS Brokerage Review

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UBS Financial Services Brokerage Trading Fees

Costs for an equity buy or sell order are expensive by industry standards. An odd lot of 30 shares of ETF FXS (CurrencyShares Swedish Krona Trust) totaling $5,200 will cost the customer in the neighborhood of $75. Two round 100 lot shares of the Silver ETF SLV (iShares Silver Trust) will cost $110.

By contrast a mutual fund purchase will cost the client $5.25. These are not the only fees the client will pay however, as the only mutual funds that UBS allows are mutual funds that are loaded; i.e. the shareholder pays a sales charge to UBS for buying the shares. There is no cost for redeeming shares of a mutual fund.

Account holders with a balance of $250,000 and above will receive personalized service with a dedicated financial advisor and client service associate.


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UBS Financial Services Customer Reviews

by Ron Littlefield, 12/1/2017

Pros: Some of the (obviously) young people manning the call center are courteous and respectful. I pity them and hope that they quickly find better employment.

Cons: I suppose it’s an ok company if you happen to be a multimillionaire and qualify for personal service.

I have had investments with UBS for decades. At some time in the past (and without my consent or knowledge), my account was transferred from a local brokerage to a call center in New Jersey. In recent days, I have spent hours of frustration trying to complete what with my other brokerages and other accounts with competing companies has been a simple transaction. UBS has become a rats maze of glitchy digital software and endless telephone transfers. Perhaps if you have millions invested you might get better service.

by shelsbels, 11/15/2017


Cons: I wish there was a no star option!!!!

The financial advisor assigned to my account left employment with UBS and went to another investment company. He send me a packet in the mail to complete financials for the new company but never explained or called me to tell me he left UBS and he would like to earn my business at the new place. So not moving there! Over the next two weeks UBS never called me to say I have been assigned a new account manager, I called to try and get information and for three days my local office will not answer the phone. So I call the 800# and they can NOT give me any information about my accounts and explained only the local office can help me. They tried getting my local office on the phone with no success. I then demanded a supervisor which said the same thing "I can't help you, only your local office"! I told him to get them on the phone because I have not been able to and the other lady couldn't. He finally got the local office to answer and they wouldn't give me information about my account even after all the security questions because they were having fraud issues! I demanded the supervisor of the local office and she finally got on the phone and I asked "what penalty fees am I facing to close my investment account with you, pay off the line of credit I have and move the remaining money to another company?" This was my only question and after 50 min, four different people, I got "I will have to call you back with that information". So I asked when can expect the information and she said "I should have it by end of day today or no later than tomorrow". This was on Thursday afternoon and as of Wednesday of the next week nothing! Called the local office again and now waiting on another person to call me back "but he has several back to back calls so not sure when that will be" was her response on when would I hear back!! Please, please do NOT do business with UBS!! I was paying $2,400/yr in fees and for the same accounts I'm paying $700/yr and my returns are up 8% from what I was earning with UBS accounts. I just wish I would have moved sooner!

by Seth Burgin, 6/26/2017

Pros: NONE!

Cons: UBS TRADED $7000+ in commissions/fees and lost another $6000+ on a brokerage account for dead person's estate.

My aunt passed away, and the two morons that were representatives of the estate failed to liquidate the brokerage account to cash, and transfer it to the bank account. UBS's broker proceeded to trade like a chimp pulling levers to get a free banana, running up over $7000 in fees, and losing another $6000 on the account. This is deplorable, and probably criminal. The executors are under investigation for other federal crimes, and if we can prove complicity, I have no problem dragging UBS into a RICO trial in 10th District Federal Court too. Come on and sue me for libel you _______ers! I have the proof! If they dared do this to a living person, they might get their teeth knocked down their throats so they picked on a dead person. I may see what Banking & Securities Fraud says at the state level, while we put together Mail Fraud, Wire Fraud, Larceny, Tax Fraud, Inconsistent Treatment, and other charges against the representatives, and Simple Robbery charges against their lawyer. Oh yes, there were TWO recorders running during that conference! Taking one away by force constitutes robbery, and right in the middle of the fun is UBS trading up $7000 in fees on a dead person's account.

by David Boucher, 6/14/2017


Cons: Lack of any reasonable customer service, No one to take responsiblity. Constant run around. The just want to keep your money!

I have been working with UBS since November of 2016 (7 months) to close my deceased parents trust account. I have documented conversations with Josh, Alex, Khang, Seth, Jessie, Tim, Nick, Tyler, Daniel, Kim, Trey and Ben over those 7 months, I have filled out and signed Declaration of Trust agreements, Trustee certification agreements. I have sent Death Certificates, Trust documentation, Resignation of Trustee documents and a letter of intent.
I get a continual run around, They tell me that my paperwork looks in order, it just needs manager approval....then there's something else I need. They NEVER call me, I always have to call them to find out what the hold up is.

I would NEVER invest one dime with this company. I am so frustrated that may parents chose to put their trust in this company.

by Gavin, 5/23/2017



So bloody useless- call them up like how many bloody times can you cause someone to die by phone calls. Called one of them up directly finally had it sought it out. That lad should just fix up the place

by Ms Thomas, 3/9/2017


Cons: Failure to communicate

Very large account but my broker does not communicate with me. Instills no confidence in UBS handling my funds.

by Benjamin John, 2/23/2017

Pros: Nothing

Cons: Charges Annaul fee $150 for nothing and another $95 fee. When i tried to close the account charged me another $250 as close out fee.

Very bad experience with UBS online personal account service. Better off with another brokerage like Vanguard or Scott trade

by Truth Detector, 2/11/2017



Read about how UBS engages in "Revenue Sharing" with the mutual fund companies it puts your money in. It's a kick-back scheme, in my view, paid by their "clients" (victims)

by MKJones, 11/8/2016



I have been trying since 9/26/2016 to get my money out of UBS and into an account at TSP. UBS cannot fill out the ONE HALF PAGE form and fax it to UBS. No offer of an electronic quick method was made in the beginning so I am left hanging, my money in limbo. Why no electronic method of transfer?

TSP cannot seem to force UBS to comply; UBS will not listen to me or abide by the simple regulations. NO ONE is making any interest on my money in this
ridiculous state of affairs. Why can't they take care of this? Six weeks? I know the US mail is slow--thank Congress--but this is ridiculous and unwarranted and costing me money! Enough of your excuses!!!! Just take care of my account!

From what I have experienced you shouldn't even be in business!

by former client, 3/4/2016

Pros: none

Cons: Only review account prior to a meeting, choose high fee investments, poor investment choices

Had an account with them and felt they only reviewed when we set up a visit. Wasn't till I was leaving that they started to want to talk. Had more contact in 2 weeks than the years they were 'investing' for me.
Put our money in high fee investments, and made some poor investment choices. Salt in the wound when you are paying to lose money. Crazy fees when started moving assets out.
Do yourself a favor and go about anywhere else. Not worth the fees (high fees for adviser and expensive to trade if not with an adviser, you lose either way).

by Cindy, 2/3/2015


Cons: Fees high with no investment support

I have IRA with UBS, each year they increase the yearly maintenance fee, now $170 paid in December. When I inquired on rolling over to another brokerage account in January I was told there would be a $95 transfer fee and another annual fee of $170 would be charged. Stay away from UBS unless you want to be ripped off.

by anonymous, 1/28/2015


Cons: Poor customer service

I checked in with my stock advisor to see what my stocks were worth a couple of days ago, and I was happy to know the value.So 2 days later I call him to liquidate everything, and he says not a problem, and says you'll be selling this many of each stock and that was it, and we hung up with each other and a minute later he calls back saying today was not a good day to sell, but he sold everything anyway.

He proceeded to let me know that it was 900 dollars less than the other day.

As a financial advisor I feel like he had a duty to inform me, but failed to say beforehand, "hey your value is 'this' are you sure you don't want to wait a day?" as if he wanted me to lose my money.UBS Financial Services is not recommended unless you don't mind any financial losses you may incur.

by Steve Errico, 10/13/2014


Cons: High fees

I have been with UBS for several years and decided to move my accounts to TD Ameritrade. The greedy jerks pelted me with hundreds of dollars of fees which I understand is their MO. I suggest if you decided to use UBS that you never leaver or be prepared to be raped!

by anonymous, 7/18/2014


Cons: $75 close-out fee

After over twenty years, I liquidated a small IRA.I was told the current value of the account and specifically asked if there were any fees or hidden costs associated with the withdrawal.

I was told there would be no additional fees or costs. The funds were direct-deposited into my checking account minus $75. I called and was told this was either an annual fee or a close-out fee and would not be refunded.

Besides paying an exorbitant annual fee relative to the value of the account, these last minute, arbitrary and unspecified charges are fraudulent and a bad business practice. UBS should not be able to bilk the consumer so readily and should be avoided.

by abpol, 5/7/2013


Cons: Horrendous Fees

I have had a small account ($2,200ish) with UBS for 13 years. For the first 12 years the annual fee was around $75.

Last year it jumped to $170, taking all but $30 of the account's appreciation. I called and appealed the excessive fee. My appeal was denied. I was told I needed to have $70,000 in the account if I wanted a fee reduction.

Would I trust them with that amount of money after this? No way!

I said I wanted to withdraw the money and was told I would have to pay ANOTHER $170 to get the money out. Those people are thieves.

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UBS Financial Services reviewed by former and current clients. UBS Financial Services customer reviews: 15. Rating: 1.