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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

ELIZABETH STOLTZ RUGG

Advisor at UBS FINANCIAL SERVICES INC.

Columbus, OH

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Search this name across graphsid dfx:ria:1ea04015-42a7-212e-2cea-5f78ecd14587

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 25, 2013 to Sep 14, 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: Feb 28, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Feb 28, 2007
First registration: Mar 25, 2013
Dual registered: yes, broker-dealer
Other names: ELIZABETH MARIE STOLTZ|ELIZABETH STOLTZ RUGG|ELIZABETH M RUGG
IAPD individual key: 5196838

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	Jul 26, 2018	n/a	yes	Columbus, OH	Current employment
AST INVESTMENT SERVICES, INC.	Asset manager	Oct 1, 2014	Aug 5, 2016	no	SHELTON, CT	Previous registration
PNC CAPITAL ADVISORS LLC	Other adviser	Jun 18, 2014	Sep 29, 2014	no	CLEVELAND, OH	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Mar 25, 2013	Jan 27, 2014	no	MAYFIELD HEIGHTS, OH\|CLEVELAND, OH\|CLEVELAND, OH	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
AST INVESTMENT SERVICES, INC.	UBS FINANCIAL SERVICES INC.	Aug 5, 2016	Jul 26, 2018	720	Firm change after gap	Other
PNC CAPITAL ADVISORS LLC	AST INVESTMENT SERVICES, INC.	Sep 29, 2014	Oct 1, 2014	2	Firm change	Other
PNC WEALTH MANAGEMENT	PNC CAPITAL ADVISORS LLC	Jan 27, 2014	Jun 18, 2014	142	Firm change	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Jul 26, 2018 to presentfactForm ADV
→ AST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 1, 2014 to Aug 5, 2016factForm ADV
→ PNC CAPITAL ADVISORS LLCRegistered adviserregistration: previous registration
Jun 18, 2014 to Sep 29, 2014factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Mar 25, 2013 to Jan 27, 2014factForm ADV

Dated events

No dated event names this entity yet.