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| Company Name: | UBS FINANCIAL SERVICES INC. |
| Employer identification number (EIN): | 132638166 |
| NAIC Classification: | 523120 |
| NAIC Description: | Securities Brokerage |
The following addresses have been detected on the 401k submissions:
| USA Mailing Address | |||||
|---|---|---|---|---|---|
| |||||
| Date first seen: 2010-10-15 | |||||
| Date last seen: 2018-10-12 | |||||
| USA Mailing Address | ||||||
|---|---|---|---|---|---|---|
| ||||||
| Date first seen: 2010-01-01 | ||||||
| Date last seen: 2025-06-30 | ||||||
| USA Location Address | ||||||
|---|---|---|---|---|---|---|
| ||||||
| Date first seen: 2010-01-01 | ||||||
| Date last seen: 2025-06-30 | ||||||
| USA Mailing Address | |||||
|---|---|---|---|---|---|
| |||||
| Date first seen: 2025-07-30 | |||||
| Date last seen: 2025-11-22 | |||||
| USA Mailing Address | |||||
|---|---|---|---|---|---|
| |||||
| Date first seen: 2025-07-30 | |||||
| Date last seen: 2025-11-23 | |||||
| Date | Description |
|---|---|
| 2022-08-24 | 132638166 Change of name detected from UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO to UBS FINANCIAL SERVICES INC. |
| Plan id# | Plan Name | Plan Start Date | Plan Effective Date |
|---|---|---|---|
| 002 | UBS FINANCIAL SERVICES INC. 401(K) PLUS PLAN | 2015-01-01 | 1979-10-01 |
| 508 | UBS FINANCIAL SERVICES INC. GROUP HEALTH AND WELFARE BENEFITS PLAN | 2015-01-01 | 2001-01-01 |
| 001 | UBS FINANCIAL SERVICES INC. PENSION PLAN | 2009-01-01 | 1975-07-01 |
| 003 | UBS FINANCIAL SERVICES INC OF PUERTO RICO SAVINGS PLUS PLAN TRUST | 2000-01-01 | 2000-01-01 |
| Date | Type of contribution | Contribution | Number of participants/employees | Average contribution per participant | |
|---|---|---|---|---|---|
| 2017-09-07 | Employer Contributions | $ 60,000,000 | 13444 | $ 4,463 | |
| 2017-09-07 | Employee Contributions | $ 60,000,000 | 13444 | $ 4,463 | |
| 2016-07-28 | Employer Contributions | $ 150,000,000 | 1748 | $ 85,812 | |
| 2016-07-28 | Employee Contributions | $ 150,000,000 | 1748 | $ 85,812 | |
| 2016-06-27 | Employer Contributions | $ 10,215,000 | 1748 | $ 5,844 | |
| 2016-06-27 | Employee Contributions | $ 10,215,000 | 1748 | $ 5,844 | |
| 2016-04-15 | Employer Contributions | $ 10,215,000 | 1748 | $ 5,844 | |
| 2016-04-15 | Employee Contributions | $ 10,215,000 | 1748 | $ 5,844 | |
| 2015-10-15 | Employer Contributions | $ 12,520,000 | 1 | $ 12,520,000 | |
| 2015-10-15 | Employee Contributions | $ 12,520,000 | 1 | $ 12,520,000 | |
| 2015-07-15 | Employer Contributions | $ 12,520,000 | 1 | $ 12,520,000 | |
| 2015-07-15 | Employee Contributions | $ 12,520,000 | 1 | $ 12,520,000 | |
| 2015-03-26 | Employer Contributions | $ 12,520,000 | 1 | $ 12,520,000 | |
| 2015-03-26 | Employee Contributions | $ 12,520,000 | 1 | $ 12,520,000 | |
| 2015-01-21 | Employer Contributions | $ 270,000 | 1 | $ 270,000 | |
| 2015-01-21 | Employee Contributions | $ 270,000 | 1 | $ 270,000 | |
| 2015-01-14 | Employer Contributions | $ 12,250,000 | 1 | $ 12,250,000 | |
| 2015-01-14 | Employee Contributions | $ 12,250,000 | 1 | $ 12,250,000 | |
| 2014-09-10 | Employer Contributions | $ 15,350,000 | 16307 | $ 941 | |
| 2014-09-10 | Employee Contributions | $ 15,350,000 | 16307 | $ 941 | |
| 2014-07-09 | Employer Contributions | $ 15,000,000 | 16307 | $ 920 | |
| 2014-07-09 | Employee Contributions | $ 15,000,000 | 16307 | $ 920 | |
| 2014-04-10 | Employer Contributions | $ 15,000,000 | 16307 | $ 920 | |
| 2014-04-10 | Employee Contributions | $ 15,000,000 | 16307 | $ 920 | |
| 2014-01-13 | Employer Contributions | $ 21,326,000 | 16307 | $ 1,308 | |
| 2014-01-13 | Employee Contributions | $ 21,326,000 | 16307 | $ 1,308 | |
| 2013-10-10 | Employer Contributions | $ 6,387,000 | 2350 | $ 2,718 | |
| 2013-10-10 | Employee Contributions | $ 6,387,000 | 2350 | $ 2,718 | |
| 2013-09-10 | Employer Contributions | $ 3,529,978 | 2350 | $ 1,502 | |
| 2013-09-10 | Employee Contributions | $ 3,529,978 | 2350 | $ 1,502 | |
| 2013-07-11 | Employer Contributions | $ 6,387,000 | 2350 | $ 2,718 | |
| 2013-07-11 | Employee Contributions | $ 6,387,000 | 2350 | $ 2,718 | |
| 2013-04-11 | Employer Contributions | $ 6,387,000 | 2350 | $ 2,718 | |
| 2013-04-11 | Employee Contributions | $ 6,387,000 | 2350 | $ 2,718 | |
| 2013-01-14 | Employer Contributions | $ 2,576,022 | 2350 | $ 1,096 | |
| 2013-01-14 | Employee Contributions | $ 2,576,022 | 2350 | $ 1,096 | |
| 2012-07-15 | Employer Contributions | $ 10,409,000 | 15324 | $ 679 | |
| 2012-07-15 | Employee Contributions | $ 10,409,000 | 15324 | $ 679 | |
| 2012-04-13 | Employer Contributions | $ 200,000 | 15324 | $ 13 | |
| 2012-04-13 | Employee Contributions | $ 200,000 | 15324 | $ 13 | |
| 2012-04-03 | Employer Contributions | $ 640,313 | 15324 | $ 42 | |
| 2012-04-03 | Employee Contributions | $ 640,313 | 15324 | $ 42 | |
| 2011-12-29 | Employer Contributions | $ 5,000,000 | 16004 | $ 312 | |
| 2011-12-29 | Employee Contributions | $ 5,000,000 | 16004 | $ 312 | |
| 2010-04-14 | Employer Contributions | $ 6,472,743 | 3105 | $ 2,085 | |
| 2010-04-14 | Employee Contributions | $ 6,472,743 | 3105 | $ 2,085 | |
| 2009-12-30 | Employer Contributions | $ 100,000,000 | 3435 | $ 29,112 | |
| 2009-12-30 | Employee Contributions | $ 100,000,000 | 3435 | $ 29,112 |
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