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

Oct 22, 1982earliest registration or exam on IAPD

Years in industry

43derivedfrom the industry start date

Years at current firm

11derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

3

Exams

S63|S65

First exam

Oct 22, 1982

First registration

Jul 8, 1997

Dual registered

yes, broker-dealer

IAPD individual key

1070743

Graph

RIA / Wealth Management

Canonical id

dfx:ria:35ce974b-cd6d-9258-8244-a22c4940edf1

First observed

Jul 8, 1997

Last observed

Sep 15, 2026 4 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.