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.

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

Mar 12, 1996earliest registration or exam on IAPD

Years in industry

30derivedfrom the industry start date

Years at current firm

4derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

10

Designations

Chartered Financial Analyst

Exams

S65|S66

First exam

Mar 12, 1996

First registration

Aug 2, 2004

Dual registered

yes, broker-dealer

IAPD individual key

2153335

• Occurred

  Aug 16, 2022
  Advisor changed firm

  Mark William Broughton left J.P. Morgan Private Wealth Advisors Llc for Ubs Financial Services Inc. (registered 2022-09-02)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:0d57b9fe-1a51-28c4-edf6-516c8a1795ed

First observed

Aug 2, 2004

Last observed

Sep 15, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.