UBS Financial Services 401(k) and pension plans

UBS Financial Services Inc., Weehawken, NJ. EIN 13-2638166. Annual reports 2009–2024. Also filed as UBS Financial Services Incorporated of Puerto Rico.

UBS Financial Services Inc. has 2 active retirement plans on file. The largest is the UBS Financial Services Inc. Pension Plan, with 8,083 participants and $577 million in assets in 2024. Alight has been its administrator since 2017.

Active plans: 2
Participants: 8,292
Plan assets: $634 million
Administered by: Alight
Plans on file: 3
Industry: Finance and insurance

All 3 plans

Active plans first

UBS Financial Services Inc. Pension Plan

Pension (defined benefit)Active

Active. The plan filed its annual report for the 2024 plan year.

Plan number: 001Employer EIN 13-2638166
Participants (2024): 8,083
Net assets (2024): $577 million
Administered by: Alight2017–2024
Plan administrator: UBS Financial Services Inc.
1000 Harbor BLVD., 10TH FLR
Weehawken, NJ 07086
(201) 352-7845As filed for 2024
In effect since: July 1, 1975

Year by year, 2009 to 2024

Plan year	Participants	Net assets	Recordkeeper
2024	8,083	$577 million	Alight
2023	8,419	$629 million	Alight
2022	8,806	$641 million	Alight
2021	9,267	$879 million	Alight
2020	9,650	$911 million	Alight
2019	10,015	$869 million	Alight
2018	10,313	$788 million	Alight
2017	10,690	$886 million	Alight
2016	11,010	$838 million	not listed
2015	11,311	$806 million	not listed
2014	11,507	$694 million	not listed
2013	11,665	$675 million	not listed
2012	15,863	$802 million	not listed
2011	16,139	$740 million	not listed
2010	16,382	$747 million	not listed
2009	16,489	$707 million	not listed

UBS Financial Services Inc of Puerto Rico Savings Plus Plan Trust

401(k)Active

Active. The plan filed its annual report for the 2024 plan year.

Plan number: 003Employer EIN 13-2638166
Participants (2024): 209
Net assets (2024): $57.3 million
Last listed recordkeeper: Alight2018–2019
Plan administrator: UBS Financial Services Inc.
1000 Harbor BLVD., 10TH FL
Weehawken, NJ 07086
(201) 352-3000As filed for 2024
In effect since: January 1, 2000

Earlier sponsor: UBS Financial Services Incorporated of Puerto Rico (2010–2020).

Earlier plan names: UBS Financial Services Incorporated of Puerto Rico Savings Plus Plan.

Year by year, 2010 to 2024

Plan year	Participants	Net assets	Recordkeeper
2024	209	$57.3 million	not listed
2023	216	$53.3 million	not listed
2022	223	$45.8 million	not listed
2021	230	$54.6 million	not listed
2020	235	$50.0 million	not listed
2019	244	$47.3 million	Alight
2018	249	$38.9 million	Alight
2017	290	$47.0 million	not listed
2016	296	$43.2 million	not listed
2015	328	$43.1 million	not listed
2014	395	$48.1 million	not listed
2013	432	$54.3 million	not listed
2012	426	$45.1 million	not listed
2011	437	$35.9 million	not listed
2010	446	$35.8 million	not listed

UBS Financial Services Inc. 401(k) Plus Plan

401(k)Merged

Merged. In 2014 its assets moved to the UBS Savings and Investment Plan (EIN 93-0186363, plan 002). Accounts moved with them, so that plan is the one to contact.

Plan number: 002Employer EIN 13-2638166
Participants (2013): 20,693
Net assets (2013): $2.8 billion
Plan administrator: Plan administrator
1000 Harbor BLVD., 10TH FL.
Weehawken, NJ 07086
(201) 352-4880As filed for 2014
In effect since: October 1, 1979

Year by year, 2010 to 2014

Plan year	Participants	Net assets	Recordkeeper
2014	0	$0	not listed
2013	20,693	$2.8 billion	not listed
2012	20,877	$2.3 billion	not listed
2011	21,196	$2.0 billion	not listed
2010	21,687	$2.1 billion	not listed

If you had money in one of these plans

Call Alight (alight.com), which runs the UBS Financial Services Inc. Pension Plan. With your Social Security number and the plan name, it can tell you whether you still have a balance and, if not, where it went.
Or call the plan administrator listed on the plan below ((201) 352-7845). That number was filed for 2024; ask for the benefits or retirement plan office.
If your plan was merged, your account moved with it. Follow the link on the plan to the plan it went into, and contact that one.
Still stuck? The Department of Labor's benefits advisers help for free: askebsa.dol.gov or 1-866-444-3272. Never pay anyone to find your own money.

What these numbers are

They come from the Form 5500 annual reports each plan files with the Department of Labor, as the plan filed them. A plan year is usually a calendar year.
Participants counts everyone in the plan at year end: current employees, former employees who still have a balance or a pension coming, and retirees or beneficiaries being paid.
The recordkeeper is the service provider whose Schedule C entry says it keeps the plan's records. Small plans do not file Schedule C, so some plans show none.
We cannot see anyone's account. Only the plan or its recordkeeper can tell you your balance.

Sources: U.S. Department of Labor, Form 5500 datasets and PBGC trusteed plans. How we read them.