UBS FINANCIAL SERVICES INC.

1200 Harbor Boulevard
Weehawken, New Jersey 07086
Tel: 201-352-3000

About UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC, formally registered with the SEC as UBS FINANCIAL SERVICES INC. The firm was established in 01/22/1971. They have over 370 offices throughout the country.

UBS FINANCIAL SERVICES INC. is a Weehawken, New Jersey based Financial Planning firm with nearly $702,387,082,915 assets under management, offering retirement planning & investment advisory services to 1093486 clients. The firm is staffed with 12701 experienced financial planners.

Firm Information

SEC Current Status	Approved
Firm CRD#	8174
SEC#	801-7163
Assets Managed by Firm	$702,387,082,915
No. of Clients	1093486
No. of Advisors	12701

Fee Structure

A percentage of AUM
Hourly charges
Fixed fees
Commission Based
Other (SEE SCHEDULE D - MISCELLANEOUS)

Advisory Services Provided

Financial planning services
Portfolio management for individuals and/or small businesses
Portfolio management for businesses or institutional clients
Pesnsion consulting services
Selection for other advisors
Publication of periodicals and newsletters
Security ratings or pricing services
Education seminars/workshops

Firm Client Information

	No. of Clients	AUM
Firm Total	1093486	$702,387,082,915
Individuals (other than high net worth individuals)	307630	$54,848,620,221
High net worth individuals	738112	$527,605,476,069
Pension and profit sharing plans	10756	$23,138,276,740
Charitable organizations	7158	$16,225,393,514
Corporations or other businesses	25909	$71,569,984,933

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PGIM INVESTMENTS LLC 655 Broad Street Newark, NJ, 07102	$315,351,503,018	167	558

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