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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

JUSTIN EDWARD FRENCH

Advisor at UBS FINANCIAL SERVICES INC.

SANTA FE, NM | Colorado Springs, CO | COLORADO SPRINGS, CO | ALBUQUERQUE, NM

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Search this name across graphsid dfx:ria:2d3c143a-82db-bab0-fba8-cdfc07e150e2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 15, 2008 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: Aug 12, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Aug 12, 2008
First registration: Aug 15, 2008
Dual registered: yes, broker-dealer
Other names: JUSTIN E FRENCH
IAPD individual key: 5522870

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	Oct 24, 2017	n/a	yes	Colorado Springs, CO\|ALBUQUERQUE, NM\|COLORADO SPRINGS, CO\|SANTA FE, NM	Current employment
FBL INVESTMENT MANAGEMENT SERVICES, INC.	Former SEC adviser	Nov 28, 2011	Oct 5, 2017	no	WEST DES MOINES, IA	Previous registration
MORGAN STANLEY	Wirehouse	Apr 9, 2010	Jan 11, 2011	no	CASPER, WY	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Mar 19, 2009	Jan 12, 2010	no	SHERIDAN, WY\|GILLETTE, WY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 15, 2008	Feb 12, 2009	no	FORT COLLINS, CO	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
FBL INVESTMENT MANAGEMENT SERVICES, INC.	UBS FINANCIAL SERVICES INC.	Oct 5, 2017	Oct 24, 2017	19	Firm change	Other
MORGAN STANLEY	FBL INVESTMENT MANAGEMENT SERVICES, INC.	Jan 11, 2011	Nov 28, 2011	321	Firm change	Other
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	MORGAN STANLEY	Jan 12, 2010	Apr 9, 2010	87	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Feb 12, 2009	Mar 19, 2009	35	Firm change	Other

Relationships

Registered with (5)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Oct 24, 2017 to presentfactForm ADV
→ FBL INVESTMENT MANAGEMENT SERVICES, INC.Registered adviserregistration: previous registration
Nov 28, 2011 to Oct 5, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Apr 9, 2010 to Jan 11, 2011factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Mar 19, 2009 to Jan 12, 2010factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 15, 2008 to Feb 12, 2009factForm ADV

Dated events

No dated event names this entity yet.