# UBS Financial Services Inc.: fundraiser > UBS Financial Services Inc. placed 26 company rounds filed with the SEC, most recently Mar 2026. Who they placed, by sector and size. Source: https://millionrounds.com/providers/ubs-financial-services-inc (Millionrounds; every figure on the page links to its filing or article) [Fundraisers](https://millionrounds.com/fundraisers) / UBS Financial Services Inc. Fundraiser Registered broker-dealer # UBS Financial Services Inc. FINRA 8174 ยท placing rounds since Jan 2016 **26** company rounds placed **8** in the last two years, last Mar 2026 **$142.8B** sold 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. **1** 23Q3 **1** 23Q4 **1** 24Q4 **4** 25Q4 **3** 26Q1 ## What they place - Insurance **91%** - Other **9%** ## How big the rounds are - Under $1M **11** - $1M to $5M **3** - $5M to $20M **2** - $20M to $100M **0** - $100M+ **16** ## Where the companies are **OH** 15 **IN** 11 **NY** 6 **IL** 2 ## Rounds they placed [Company rounds](https://millionrounds.com/providers/ubs-financial-services-inc)[Everything, funds and real estate too](https://millionrounds.com/providers/ubs-financial-services-inc?show=all) Filed Issuer Industry Sold Mar 2026 New York Life Insurance & Annuity Corp Agents: UBS Financial Services Inc Insurance **$1.8B** Mar 2026 New York Life Insurance & Annuity Corp Agents: UBS Financial Services Insurance **$2.0B** Jan 2026 EQT Infrastructure Co LLC Agents: UBS Financial Services Inc. Other **-** Dec 2025 Lincoln Life Flexible Premium Variable Life Account Z Agents: David Sears, Jeremy Yanasak, L. Marc Shegoski Insurance **$2.7B** Dec 2025 HNW PPVUL Series Account - 1 Agents: UBS Financial Services Insurance **$679M** Dec 2025 ZALICONY HNW PPVA Series Account - 1 Agents: UBS Insurance **$268M** Dec 2025 HNW PPVA Series Account - 1 Agents: UBS Insurance **$2.1B** Dec 2024 Lincoln Life Flexible Premium Variable Life Account Z Agents: Alex Chivarsky, David Sears, Diane Hart Insurance **$2.6B** Dec 2023 Lincoln Life Flexible Premium Variable Life Account Z Agents: Alex Chivarsky, David Sears, Diane Hart Insurance **$2.4B** Jul 2023 KKR Private Equity Conglomerate LLC Other **-** Dec 2022 Lincoln Life Flexible Premium Variable Life Account Z Agents: Alex Chivarsky, David Sears, Diane Hart Insurance **$2.0B** Dec 2021 Lincoln Life Flexible Premium Variable Life Account Z Agents: Alex Chivarsky, Diane Hart, Jesse Amarillas Insurance **$1.7B** Dec 2020 Lincoln Life Flexible Premium Variable Life Account Z Agents: Alex Chivarsky, Diane Hart, Jesse Amarillas Insurance **$2.3B** Dec 2019 Lincoln Life Flexible Premium Variable Life Account Z Agents: Robert C. Whittington, Shawn Hintz, Thomas J. Cleary Insurance **$1.8B** Dec 2018 Lincoln Life Flexible Premium Variable Life Account Z Agents: Allyn Cline Young, Robert C. Whittington, Shawn Hintz Insurance **$1.5B** May 2018 WorldQuant Millennium WMQS GEAE Offshore Fund (iCapital), L.P. Other **$13M** Dec 2017 Lincoln Life Flexible Premium Variable Life Account Z Agents: Allyn Cline Young, Charles Sessa, David S. Eisen Insurance **$1.1B** Oct 2017 Nationwide Private Placement Variable Account Agents: Kenneth Catanella Insurance **$3.0M** Apr 2017 Nationwide Private Placement Variable Account Agents: Lucia Fiumara Insurance **$25k** Jan 2017 Nationwide Private Placement Variable Account Agents: Edward M. Lubell (Ned), John S. Fulton, Sara D. Roth Insurance **$81k** Jan 2017 Nationwide Private Placement Variable Account Agents: Douglas Braff Insurance **$307k** Dec 2016 Lincoln Life Flexible Premium Variable Life Account Z Agents: Allyn Cline Young, Charles Sessa, David S. Eisen Insurance **$783M** Jul 2016 Nationwide Private Placement Variable Account Agents: Lucia Fiumara Insurance **$45k** Apr 2016 Nationwide Private Placement Variable Account Agents: Lucia Fiumara Insurance **$3.5M** Feb 2016 Nationwide Private Placement Variable Account Agents: Kenneth LaBarge Insurance **$148k** Jan 2016 Nationwide Private Placement Variable Account Agents: Edward M. Lubell (Ned), John S. Fulton, Sara D. Roth Insurance **$262k** Dec 2015 Lincoln Life Flexible Premium Variable Life Account Z Agents: Allyn Cline Young, Charles Sessa, David S. Eisen Insurance **$431M** Aug 2015 Nationwide Private Placement Variable Account Agents: Lucia Fiumara Insurance **$7.5M** Apr 2015 Nationwide Private Placement Variable Account Agents: Craig Findley Insurance **$1.4M** Mar 2015 Nationwide Private Placement Variable Account Agents: Edward M. (Ned) Lubell, John S. Fulton, Sara D. Roth Insurance **$32k** Aug 2014 Nationwide Private Placement Variable Account Agents: Jared Toren, Jay Mechling, Matthew Lasko Insurance **$853k** Jun 2014 Nationwide Private Placement Variable Account Agents: Kenneth LaBarge Insurance **$258k** Jun 2014 Nationwide Private Placement Variable Account Agents: Craig Findley Insurance **$657k** Feb 2014 Nationwide Private Placement Variable Account Agents: Edward M. Lubell (Ned), John S. Fulton, Sara D. Roth Insurance **$151k** From the SEC's Form D data sets: the issuer named this firm as paid to sell the offering. The latest 40 shown. ## Often on the same rounds Other fundraisers named on the same filings: the firms they syndicate with. [**Newport Group Securities, Inc.** 26 rounds together](https://millionrounds.com/providers/newport-group-securities-inc)[**M Holdings Securities Inc.** 20 rounds together](https://millionrounds.com/providers/m-holdings-securities-inc)[**Morgan Stanley** 15 rounds together](https://millionrounds.com/providers/morgan-stanley-and-co-llc)[**Lion Street Financial** 15 rounds together](https://millionrounds.com/providers/lion-street-financial)[**Kestra Investment Services LLC** 15 rounds together](https://millionrounds.com/providers/kestra-investment-services-llc)[**Morgan Stanley Smith Barney, LLC** 15 rounds together](https://millionrounds.com/providers/morgan-stanley-smith-barney-llc) ## Founders who worked with them No one has said so yet. Worked with them? Say so ## A badge for their site It shows their latest standing in the quarterly rankings and links back here. ## Is this UBS Financial Services Inc.? Claim the page to describe your work in your own words. Free. 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