Investment advisory services and brokerage services are separate and distinct, differ in material ways and are governed by different laws and separate arrangements. offers investment advisory services in its capacity as an SEC-registered investment adviser and brokerage services in its capacity as an SEC-registered broker-dealer. UBS Financial Services Incorporated of Puerto Rico is registered as a broker-dealer.Īs a firm providing wealth management services to clients, UBS Financial Services Inc. is registered with the US Securities and Exchange Commission (SEC) as an investment adviser and a broker-dealer. The key symbol and UBS are among the registered and unregistered trademarks of UBS. It is important that clients understand the ways in which we conduct business and that they carefully read the agreements and disclosures that we provide to them about the products or services we offer.
offers both investment advisory services and brokerage services. Please consult your tax or legal advisors regarding your particular situation.Īs a firm providing wealth management services to clients, UBS Financial Services Inc. nor its employees provide tax or legal advice. This material is prepared for informational purposes only. However, as noted below, if this information is not available it will be sent in the final mailing or at a later date as a revised Form 1099. MBS 1099 income reporting information, which also includes information related to real estate mortgage investment conduits (REMICs) and mortgage pools, will be included with the Consolidated Forms 1099 if it is available on the first mailing date. Mortgage-Backed Securities (MBS) Form 1099 Information The first mailing includes Consolidated Forms 1099 that we do not anticipate will have any additional updates or issuer-driven reclassifications (e.g., reclassifications made by issuers such as mutual fund and unit investment trust (UIT) companies). It reflects information that is reported to the IRS and is designed to assist you with filing your federal income tax return. The Consolidated Form 1099 is the collection of all applicable Forms 1099 merged into one document.
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