UBS Financial Services, Inc.

Firm Profile

UBS has a proven record in retirement plan consulting with more than 30 years of experience providing investment advice as a fiduciary. Through our Institutional Consulting and Retirement Plan Consulting Services programs, we provide advisory services to more than 1,400 retirement plans comprising over $55 billion in assets.

We aim to be the firm of choice for retirement plan consultants. We have a true open architecture platform enabling consultants to deliver services based on client needs. We recognize dedicated consultants with a Senior Retirement Plan Consultant designation, giving them access to advanced training, specialized services and resources that help address a broad array of plan client needs related to fiduciary governance, plan health and participant retirement readiness.

UBS Retirement Plan Consultants are supported by one of the world’s leading wealth managers. We combine our retirement plan consulting capabilities with our broad financial experience to help plan sponsors manage plan complexity and provide participants with relevant education. Retirement Plan Consultants also benefit by working with UBS’s national network of wealth management financial advisors.

KEY CONTACTS
Mark Barnum, Director of Business Development, (425) 990-2768

Gene Silverman, Head of Corporate Retirement Plans, (201) 352-3826

WEBSITE
www.UBS.com/RPCS

PRIMARY MARKET(S) SERVED
Small ($1-$10 million), Mid ($10-$100 million), Large ($100-$250 million)

OPTIONS AVAILABLE
• Retirement Sales Desk Reps
• Business Development Consultants
• Recruiter for Retirement Plan Advisors
• 3rd Party Vendor Analysis Tool
• 3rd Party Investment Analysis Tool
• Benchmarking Tools
• Allows Fiduciary Declaration3(21)/3(38)
• Custom Risk based/target date models
• 408(b)(2) – in-house or outsourced
• Plan feature review/plan design consulting
• Plan sponsor fiduciary training
• Minimum fee schedules
• PLANavigator, plan health tool
• Financial Wellness Center for Plan Participants

12 home office employees supporting the retirement business

Key Contacts

Mark Barnum, Director of Business Development, (425) 990-2768

Gene Silverman, Head of Corporate Retirement Plans, (201) 352-3826

WEBSITE
www.UBS.com/RPCS