DFX Intelligence

Data Factory

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

ZACHARY MICHAEL HERRERA

Advisor at UBS FINANCIAL SERVICES INC.

MELVILLE, NY | Garden City, NY | GARDEN CITY, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5b87b570-e531-4ca8-8588-38252054dfe6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 5, 2009 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: May 4, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: May 4, 2009
First registration: May 5, 2009
Dual registered: yes, broker-dealer
IAPD individual key: 5296537

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	Jan 16, 2024	n/a	yes	MELVILLE, NY\|GARDEN CITY, NY\|Garden City, NY	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Jul 28, 2017	Jan 19, 2024	no	Garden City, NY\|ST. PETERSBURG, FL	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jul 12, 2012	Jul 27, 2017	no	GARDEN CITY, NY	Previous registration
MORGAN STANLEY	Wirehouse	Aug 6, 2010	Jul 11, 2012	no	Garden City, NY	Previous registration
NEUBERGER BERMAN MANAGEMENT LLC	Former SEC adviser	Oct 29, 2009	Dec 31, 2009	no	NEW YORK, NY	Previous registration
NEUBERGER BERMAN BD LLC	No RAUM reported	May 5, 2009	Oct 29, 2009	no	NEW YORK, NY	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
RAYMOND JAMES & ASSOCIATES, INC.	UBS FINANCIAL SERVICES INC.	Jan 19, 2024	Jan 16, 2024	-3	Firm change	Ibd to wirehouse
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	RAYMOND JAMES & ASSOCIATES, INC.	Jul 27, 2017	Jul 28, 2017	1	Firm change	Other
MORGAN STANLEY	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jul 11, 2012	Jul 12, 2012	1	Firm change	Other
NEUBERGER BERMAN MANAGEMENT LLC	MORGAN STANLEY	Dec 31, 2009	Aug 6, 2010	218	Firm change	Other
NEUBERGER BERMAN BD LLC	NEUBERGER BERMAN MANAGEMENT LLC	Oct 29, 2009	Oct 29, 2009	0	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149018:705:NY:2017-07-27	Jul 27, 2017	Jul 28, 2017	GARDEN CITY, NY	Firm change

Relationships

Registered with (6)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Jan 16, 2024 to presentfactForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Jul 28, 2017 to Jan 19, 2024factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jul 12, 2012 to Jul 27, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 6, 2010 to Jul 11, 2012factForm ADV
→ NEUBERGER BERMAN MANAGEMENT LLCRegistered adviserregistration: previous registration
Oct 29, 2009 to Dec 31, 2009factForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
May 5, 2009 to Oct 29, 2009factForm ADV

Dated events

Occurred
Jan 19, 2024
Advisor changed firm
Zachary Michael Herrera left Raymond James & Associates, Inc. for Ubs Financial Services Inc. (registered 2024-01-16)
Form ADVobserved 5 days ago