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

Aug 16, 2001earliest registration or exam on IAPD

Years in industry

25derivedfrom the industry start date

Years at current firm

12derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

10

Exams

S63|S65

First exam

Nov 20, 2001

First registration

Aug 16, 2001

Dual registered

yes, broker-dealer

IAPD individual key

4296932

Graph

RIA / Wealth Management

Canonical id

dfx:ria:67ea795e-bca6-278e-07ed-2ef2455b5dee

First observed

Aug 16, 2001

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.