Branch offices
0 offices
FINRA: Small firm
CRD #13042 · FINRA BrokerCheck + SEC IAPD
UBS Financial Services Incorporated of Puerto Rico
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, UBS Financial Services Incorporated of Puerto Rico ranks #97 of 20,055 by disclosure count (most disclosures first). UBS Financial Services Incorporated of Puerto Rico carries 51 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.
- Grade F
- Safety grade
- 0
- branch offices
- 51
- disclosures
- #97 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 13042 UBS Financial Services Incorporated of Puerto Rico
UBS Financial Services Incorporated of Puerto Rico · Grade F · 51 disc · 51.00/office · Single-office firm
- CRD 13042
- GRADE F
- DISC 51
- REG 8
- ARB 43
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #97 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: BB&T Securities, LLC (51.00 disc/office)
UBS Financial Services Incorporated of Puerto Rico ranks #97 of 20,055 by disclosure count among graded broker-dealers; heavy load at 51.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
51 events
On FINRA BrokerCheck
Regulatory events
8 actions
16% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 8 |
| Arbitrations | 43 |
| Civil Events | 0 |
| Total | 51 |
Counts for UBS Financial Services Incorporated of Puerto Rico reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 8 Arbitration 43 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 13042
Customer-facing mix
UBS Financial Services Incorporated of Puerto Rico in the heavier-disclosure third
UBS Financial Services Incorporated of Puerto Rico carries 51 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#97 of 20,055). Customer-facing events dominate: 43 arbitration and 0 civil versus 8 regulatory (16% regulator share).
Only 16% of UBS Financial Services Incorporated of Puerto Rico's disclosures are regulator-initiated; arbitrations (43) and civil events (0) dominate the book. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of UBS Financial Services Incorporated of Puerto Rico's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does UBS Financial Services Incorporated of Puerto Rico sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, UBS Financial Services Incorporated of Puerto Rico ranks #97 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of F mean for UBS Financial Services Incorporated of Puerto Rico?
A grade of F reflects UBS Financial Services Incorporated of Puerto Rico's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 51 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does UBS Financial Services Incorporated of Puerto Rico have?
UBS Financial Services Incorporated of Puerto Rico has 51 total FINRA disclosures, including 8 regulatory events, 43 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is UBS Financial Services Incorporated of Puerto Rico?
UBS Financial Services Incorporated of Puerto Rico operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify UBS Financial Services Incorporated of Puerto Rico's disciplinary record?
You can verify UBS Financial Services Incorporated of Puerto Rico's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 13042. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). UBS Financial Services Incorporated of Puerto Rico's 51 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid UBS Financial Services Incorporated of Puerto Rico because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. UBS Financial Services Incorporated of Puerto Rico carries 51 disclosures across 0 branch offices (about 51.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- BB&T Securities, LLC - 51.00 disclosures/office, nearest single-office firm peer to UBS Financial Services Incorporated of Puerto Rico's 51.00
- J.P. Securities, Inc. - 51.00 disclosures/office, nearest single-office firm peer to UBS Financial Services Incorporated of Puerto Rico's 51.00
- Ferris, Baker Watts, LLC - 50.00 disclosures/office, nearest single-office firm peer to UBS Financial Services Incorporated of Puerto Rico's 51.00
- Red Flags in Advisor Records - How to read UBS Financial Services Incorporated of Puerto Rico's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 51 disclosures behind UBS Financial Services Incorporated of Puerto Rico's Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as UBS Financial Services Incorporated of Puerto Rico.
- Compare firms - put UBS Financial Services Incorporated of Puerto Rico next to peers on grade and footprint.
Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.