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

Jan 18, 2002earliest registration or exam on IAPD

Years in industry

24derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

3

Designations

Certified Financial Planner

Exams

S63|S65

First exam

Jan 18, 2002

First registration

May 2, 2003

Dual registered

yes, broker-dealer

Other names

DAVID M GRINDEL

IAPD individual key

4171475

• Occurred

  Jul 11, 2024
  Advisor changed firm

  David Michael Grindel left Morgan Stanley for Ubs Financial Services Inc. (registered 2024-07-09)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:547cdc6a-c554-ef2a-3cba-4c77d098f734

First observed

May 2, 2003

Last observed

Sep 14, 2026 5 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.