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 1, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S66

First exam

Apr 15, 2017

First registration

Jul 10, 2017

Dual registered

yes, broker-dealer

IAPD individual key

6757775

• Occurred

  Jun 9, 2025
  Advisor changed firm

  Daniel Mendoza left Hennion & Walsh Asset Management, Inc. for Ubs Financial Services Inc. (registered 2025-08-21)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:5cbbd999-a915-df44-e5b5-8f2a105244db

First observed

Jul 10, 2017

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.