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

Jun 1, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

3

Exams

S66

First exam

Jul 13, 2016

First registration

Jul 13, 2016

Dual registered

yes, broker-dealer

IAPD individual key

5571493

• Occurred

  Oct 19, 2022
  Advisor changed firm

  Jonathan David Rothman left Morgan Stanley for Ubs Financial Services Inc. (registered 2022-09-29)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:3d58f355-7f68-3c33-9985-20c2f9accc17

First observed

Jul 13, 2016

Last observed

Sep 14, 2026 6 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.