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Keith C Ratcliffe

UBS Asset Management (americas) LLC

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About Keith C Ratcliffe

Keith Ratcliffe is a financial advisor at UBS Asset Management (americas) LLC. Keith is registered with FINRA as a Registered Representative (Series 7) and a General Securities Representative (Series 66). Keith also holds the Series 63 license and has been in the industry since 2007. Prior to joining UBS, Keith worked at Legg Mason Investor Services, LLC. Keith is currently licensed in New York, New Jersey and several other states.

Firm Information

Keith Ratcliffe is currently registered with UBS Asset Management (americas) LLC. UBS Asset Management (Americas) LLC is an investment advisor headquartered in NEW YORK, NY. With over $477 billion in regulatory assets under management, the firm primarily serves individuals, high-net-worth individuals, investment companies, pooled investment vehicles, corporations or other businesses, and state or municipal government entities. The firm offers portfolio management services for businesses, individuals, investment companies, and pooled investment vehicles. UBS Asset Management (Americas) LLC participates in wrap fee programs.
UBS Asset Management (americas) LLC

787 7TH AVENUE

NEW YORK, NY 10019

$477.86B

Assets Under Management

16

Total Clients

30

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Keith Ratcliffe’s Registration & Firm History

NY

03/01/2018 - Present

UBS Asset Management (americas) LLC (NEW YORK NY)

CT

05/14/2007 - 10/30/2007

LEGG MASON INVESTOR SERVICES, LLC (STAMFORD CT)

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Licenses & Designations

BOTH

Issued 06/10/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/02/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/11/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Keith C Ratcliffe.
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