| Advisor Profile |
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| Disclaimer |
| *Neither UBS Financial Services Inc., nor any of its employees offers tax or legal advice. You must consult your tax and or legal advisors regarding your particular situation.
Important Information About Brokerage and Advisory Services
It is important that you understand the ways in which UBS Financial Services Inc. (UBS) conducts business and the applicable laws and regulations that govern the firm. As a firm providing wealth management services to clients in the U.S., UBS is registered with the U.S. Securities and Exchange Commission (SEC) as an investment adviser and a broker-dealer, offering both investment advisory and brokerage services. Though there are similarities among these services, the investment advisory programs and brokerage accounts UBS offers are separate and distinct, differ in material ways, and are governed by different laws and separate contracts.
It is important that you carefully read the agreements and disclosures UBS provides to you about the products or services offered. While UBS strive to ensure that these materials clearly describe the nature of the services provided, pleas do not hesitate to contact your Financial Advisor, Robert C. Martinez, if you would like clarification on the nature of your accounts or services you receive from us.
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Business Description |
About UBS
UBS AG is a leading global financial services firm, serving a diverse client base that includes affluent individuals, corporations, institutions and governments.
By integrating and leveraging the combined resources, expertise and best practices of its business units, UBS offers products and services designed to provide appropriate solutions to its clients, regardless of where they are located.
The Client Experience
In delivering the UBS Client Experience, our Financial Advisors take the time to understand your needs and goals and proactively provide appropriate solutions. We keep you informed on a periodic basis, and can monitor and update strategies, as appropriate, to respond to ever-changing markets and your evolving needs. |
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General Information |
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| Name of Broker/Dealer: |
UBS Financial Services, Inc.
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| States Licensed in: |
CA, NM
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| States Willing to do Business in: |
OR, AZ, TX, NJ, CO, OH
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| Years of Experience in Financial Services: |
7
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| Number of Years with Current Firm: |
1
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| Work Experience: |
I joined UBS Financial Services Inc., following 26 years as an attorney, serving 20 of those years as a Deputy Port Attorney for the Port of Oakland, California. My experiences covered a broad scope of issues in areas, including retirement planning, portfolio construction, executive pay, employee benefits, and deferred compensation plans. At UBS, I employ disciplined strategies to help clients pursue their financial goals, mitigate risks and preserve their capital.
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| I work with the following types of clients: |
Non-Profit Organizations, Individual Investors, Businesses
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Education |
| Academic Background |
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Juris Doctor - University of California,
Berkeley, Boalt Hall School of Law(1979)
BA, Economics - University of California,
Berkeley (1976) |
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Services |
| Investment Types: |
Exchange Traded Funds (ETFs), Mortgages & Real Estate, Stocks, Options & Futures, Mutual Funds, Insurance, Annuities, Bonds, Alternative Investments, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Securities Licenses: |
Series 7, Series 66
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| Insurance and Annuity Licenses: |
Variable Annuity, Long Term Care, Variable Life, Disability, Life, Health, Annuity
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| Financial Organization Memberships: |
Society of Financial Services Professionals, National Association of Insurance and Financial Advisors (NAIFA)
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| Non-Financial Organization Memberships: |
Santa Fe Estate Planning Council
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Compensation Methods: |
Based on Assets, Commissions, Flat Fee, Hourly
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| Prepared By: |
Robert Martinez |
Frequently Asked Questions |
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