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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

Julie Elaine Warren Holton

Advisor at UBS FINANCIAL SERVICES INC.

ATLANTA, GA

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Search this name across graphsid dfx:ria:2e7c4c0b-a3bb-8e8e-7021-3e2b0c1265bc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Dec 14, 2001 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: Nov 6, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Nov 6, 1987
First registration: Dec 14, 2001
Dual registered: yes, broker-dealer
Other names: JULIE ELAINE WARREN|Julie Warren Holton
IAPD individual key: 1473270

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	Mar 28, 2024	n/a	yes	ATLANTA, GA	Current employment
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Nov 4, 2021	Mar 28, 2024	no	ATLANTA, GA	Previous registration
SWAN GLOBAL INVESTMENTS, LLC	Other adviser	Jun 1, 2017	Jun 4, 2021	no	Tampa, FL\|DURANGO, CO	Previous registration
BPV CAPITAL MANAGEMENT, LLC	Former SEC adviser	Nov 24, 2014	Sep 9, 2016	no	KNOXVILLE, TN	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 22, 2008	Sep 12, 2014	no	ATLANTA, GA\|ATLANTA, GA\|ATLANTA, GA\|CHARLESTON, SC\|Mt. Pleasant, SC\|Mt. Pleasant, SC	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 27, 2006	Sep 5, 2007	no	WEEHAWKEN, NJ\|ORLANDO, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Dec 14, 2001	Jan 26, 2006	no	ORLANDO, FL	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
JANNEY MONTGOMERY SCOTT LLC	UBS FINANCIAL SERVICES INC.	Mar 28, 2024	Mar 28, 2024	0	Firm change	Ibd to wirehouse
SWAN GLOBAL INVESTMENTS, LLC	JANNEY MONTGOMERY SCOTT LLC	Jun 4, 2021	Nov 4, 2021	153	Firm change	RIA to ibd
BPV CAPITAL MANAGEMENT, LLC	SWAN GLOBAL INVESTMENTS, LLC	Sep 9, 2016	Jun 1, 2017	265	Firm change	Other
UBS FINANCIAL SERVICES INC.	BPV CAPITAL MANAGEMENT, LLC	Sep 12, 2014	Nov 24, 2014	73	Firm change	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 22, 2008 to Sep 12, 2014factForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Nov 4, 2021 to Mar 28, 2024factForm ADV
→ SWAN GLOBAL INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jun 1, 2017 to Jun 4, 2021factForm ADV
→ BPV CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 24, 2014 to Sep 9, 2016factForm ADV

Dated events

Occurred
Mar 28, 2024
Advisor changed firm
Julie Elaine Warren Holton left Janney Montgomery Scott Llc for Ubs Financial Services Inc. (registered 2024-03-28)
Form ADVobserved 3 days ago