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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

DAVID LEWIS KING

Advisor at UBS FINANCIAL SERVICES INC.

NEW HAVEN, CT

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Search this name across graphsid dfx:ria:56d856eb-acfe-7dcb-eab8-ff89af740765

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 28, 2008 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: Oct 17, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 17, 2008
First registration: Oct 28, 2008
Dual registered: yes, broker-dealer
Other names: DAVID KING
IAPD individual key: 4984033

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	Aug 20, 2025	n/a	yes	NEW HAVEN, CT	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 26, 2015	Aug 13, 2025	no	WETHERSFIELD, CT\|NEW HAVEN, CT\|WETHERSFIELD, CT\|BLOOMFIELD, CT\|GLASTONBURY, CT\|MANCHESTER, CT\|NEW HAVEN, CT\|NEW YORK, NY\|GLASTONBURY, CT\|NEW HAVEN, CT\|NEW HAVEN, CT\|West Hartford, CT	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Apr 22, 2010	Oct 10, 2014	no	SPRINGFIELD, MA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Oct 28, 2008	Jul 15, 2009	no	NEW YORK, NY\|SPRINGFIELD, MA	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Aug 13, 2025	Aug 20, 2025	7	Firm change	Wirehouse to wirehouse
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 10, 2014	Oct 26, 2015	381	Firm change	Other
MORGAN STANLEY & CO. LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Jul 15, 2009	Apr 22, 2010	281	Firm change	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Aug 20, 2025 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 26, 2015 to Aug 13, 2025factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Apr 22, 2010 to Oct 10, 2014factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Oct 28, 2008 to Jul 15, 2009factForm ADV

Dated events

Occurred
Aug 13, 2025
Advisor changed firm
David Lewis King left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Ubs Financial Services Inc. (registered 2025-08-20)
Form ADVobserved 4 days ago