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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

NEIL A CONWAY

Advisor at UBS FINANCIAL SERVICES INC.

Muskego, WI | Brookfield, WI

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Search this name across graphsid dfx:ria:02e5dd3d-b64e-5344-b49c-34ba74f3fd32

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 15, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 17, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 17, 2001
First registration: Sep 15, 2005
Dual registered: yes, broker-dealer
Other names: NEIL A HORONZY|NEIL A HORONZY
IAPD individual key: 4301043

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 5, 2019	n/a	yes	Brookfield, WI\|Muskego, WI	Current employment
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Aug 1, 2012	Sep 9, 2019	no	OAK CREEK, WI\|FRANKLIN, WI\|Milwaukee, WI\|ELM GROVE, WI\|MILWAUKEE, WI	Previous registration
M&I INVESTMENT MANAGEMENT CORP.	Former SEC adviser	Apr 29, 2010	Apr 18, 2012	no	MILWAUKEE, WI	Previous registration
M&I FINANCIAL ADVISORS, INC.	Former SEC adviser	Sep 15, 2005	Aug 1, 2012	no	OAK CREEK, WI\|OAK CREEK, WI\|SOUTH MILWAUKEE, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BMO HARRIS FINANCIAL ADVISORS, INC	UBS FINANCIAL SERVICES INC.	Sep 9, 2019	Sep 5, 2019	-4	Firm change	Ibd to wirehouse
M&I FINANCIAL ADVISORS, INC.	M&I INVESTMENT MANAGEMENT CORP.	Aug 1, 2012	Apr 29, 2010	-825	Bulk transfer	Other
M&I INVESTMENT MANAGEMENT CORP.	BMO HARRIS FINANCIAL ADVISORS, INC	Apr 18, 2012	Aug 1, 2012	105	Bulk transfer	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Sep 5, 2019 to presentfactForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Aug 1, 2012 to Sep 9, 2019factForm ADV
→ M&I FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Sep 15, 2005 to Aug 1, 2012factForm ADV
→ M&I INVESTMENT MANAGEMENT CORP.Registered adviserregistration: previous registration
Apr 29, 2010 to Apr 18, 2012factForm ADV

Dated events

No dated event names this entity yet.