Fundraisers / UBS Financial Services Inc.
FundraiserRegistered broker-dealer
UBS Financial Services Inc.
FINRA 8174 · placing rounds since Jan 2016
26company rounds placed
8in the last two years, last Mar 2026
$142.8Bsold in the rounds they placed
4.1%typical commission; the median firm takes 4.9%
Named on 305 Form D filings as paid to sell the offering: 26 for operating companies, 277 for funds, 2 for real estate. 21 registered agents named.
Quarter by quarter
Company rounds they placed in each quarter, from the filings.
123Q3123Q4124Q4425Q4326Q1
What they place
- Insurance91%
- Other9%
How big the rounds are
- Under $1M11
- $1M to $5M3
- $5M to $20M2
- $20M to $100M0
- $100M+16
Where the companies are
OH15IN11NY6IL2
Rounds they placed
FiledIssuerIndustrySold
Mar 2026New York Life Insurance & Annuity CorpAgents: UBS Financial Services IncInsurance$1.8B
Mar 2026New York Life Insurance & Annuity CorpAgents: UBS Financial ServicesInsurance$2.0B
Jan 2026EQT Infrastructure Co LLCAgents: UBS Financial Services Inc.Other-
Dec 2025Lincoln Life Flexible Premium Variable Life Account ZAgents: David Sears, Jeremy Yanasak, L. Marc ShegoskiInsurance$2.7B
Dec 2025HNW PPVUL Series Account - 1Agents: UBS Financial ServicesInsurance$679M
Dec 2025ZALICONY HNW PPVA Series Account - 1Agents: UBSInsurance$268M
Dec 2025HNW PPVA Series Account - 1Agents: UBSInsurance$2.1B
Dec 2024Lincoln Life Flexible Premium Variable Life Account ZAgents: Alex Chivarsky, David Sears, Diane HartInsurance$2.6B
Dec 2023Lincoln Life Flexible Premium Variable Life Account ZAgents: Alex Chivarsky, David Sears, Diane HartInsurance$2.4B
Jul 2023KKR Private Equity Conglomerate LLCOther-
Dec 2022Lincoln Life Flexible Premium Variable Life Account ZAgents: Alex Chivarsky, David Sears, Diane HartInsurance$2.0B
Dec 2021Lincoln Life Flexible Premium Variable Life Account ZAgents: Alex Chivarsky, Diane Hart, Jesse AmarillasInsurance$1.7B
Dec 2020Lincoln Life Flexible Premium Variable Life Account ZAgents: Alex Chivarsky, Diane Hart, Jesse AmarillasInsurance$2.3B
Dec 2019Lincoln Life Flexible Premium Variable Life Account ZAgents: Robert C. Whittington, Shawn Hintz, Thomas J. ClearyInsurance$1.8B
Dec 2018Lincoln Life Flexible Premium Variable Life Account ZAgents: Allyn Cline Young, Robert C. Whittington, Shawn HintzInsurance$1.5B
May 2018WorldQuant Millennium WMQS GEAE Offshore Fund (iCapital), L.P.Other$13M
Dec 2017Lincoln Life Flexible Premium Variable Life Account ZAgents: Allyn Cline Young, Charles Sessa, David S. EisenInsurance$1.1B
Oct 2017Nationwide Private Placement Variable AccountAgents: Kenneth CatanellaInsurance$3.0M
Apr 2017Nationwide Private Placement Variable AccountAgents: Lucia FiumaraInsurance$25k
Jan 2017Nationwide Private Placement Variable AccountAgents: Edward M. Lubell (Ned), John S. Fulton, Sara D. RothInsurance$81k
Jan 2017Nationwide Private Placement Variable AccountAgents: Douglas BraffInsurance$307k
Dec 2016Lincoln Life Flexible Premium Variable Life Account ZAgents: Allyn Cline Young, Charles Sessa, David S. EisenInsurance$783M
Jul 2016Nationwide Private Placement Variable AccountAgents: Lucia FiumaraInsurance$45k
Apr 2016Nationwide Private Placement Variable AccountAgents: Lucia FiumaraInsurance$3.5M
Feb 2016Nationwide Private Placement Variable AccountAgents: Kenneth LaBargeInsurance$148k
Jan 2016Nationwide Private Placement Variable AccountAgents: Edward M. Lubell (Ned), John S. Fulton, Sara D. RothInsurance$262k
Dec 2015Lincoln Life Flexible Premium Variable Life Account ZAgents: Allyn Cline Young, Charles Sessa, David S. EisenInsurance$431M
Aug 2015Nationwide Private Placement Variable AccountAgents: Lucia FiumaraInsurance$7.5M
Apr 2015Nationwide Private Placement Variable AccountAgents: Craig FindleyInsurance$1.4M
Mar 2015Nationwide Private Placement Variable AccountAgents: Edward M. (Ned) Lubell, John S. Fulton, Sara D. RothInsurance$32k
Aug 2014Nationwide Private Placement Variable AccountAgents: Jared Toren, Jay Mechling, Matthew LaskoInsurance$853k
Jun 2014Nationwide Private Placement Variable AccountAgents: Kenneth LaBargeInsurance$258k
Jun 2014Nationwide Private Placement Variable AccountAgents: Craig FindleyInsurance$657k
Feb 2014Nationwide Private Placement Variable AccountAgents: Edward M. Lubell (Ned), John S. Fulton, Sara D. RothInsurance$151k
From the SEC's Form D data sets: the issuer named this firm as paid to sell the offering. The latest 40 shown.
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