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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

EDWARD MICHAEL BRENNAN

Advisor at UBS FINANCIAL SERVICES INC.

STAMFORD, CT | Fleming Island, FL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 3, 2003 to Sep 15, 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: Mar 31, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 5
Exams: S63|S65
First exam: Mar 31, 1995
First registration: Jul 3, 2003
Dual registered: yes, broker-dealer
Other names: MICHAEL BRENNAN
IAPD individual key: 2121919

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	Jun 17, 2015	n/a	yes	STAMFORD, CT\|Fleming Island, FL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 18, 2011	Jun 16, 2015	no	NEW YORK, NY\|NEW CANAAN, CT\|NORWALK, CT\|WESTPORT, CT\|NORWALK, CT\|WESTPORT, CT\|WESPORT, CT\|WESTPORT, CT\|NORWALK, CT\|NORWALK, CT	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 28, 2009	Apr 12, 2011	no	DARIEN, CT\|OLD GREENWICH, CT\|DARIEN, CT	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jan 9, 2009	May 29, 2009	no	NORWALK, CT	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jan 30, 2006	Dec 31, 2008	no	NORWALK, CT	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Jul 3, 2003	Jul 20, 2005	no	NORWALK , CT	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.	Jun 16, 2015	Jun 17, 2015	1	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 12, 2011	May 18, 2011	36	Firm change	Other
PRINCIPAL SECURITIES, INC.	CHASE INVESTMENT SERVICES CORP.	May 29, 2009	May 28, 2009	-1	Firm change	Other
NEW ENGLAND SECURITIES CORPORATION	PRINCIPAL SECURITIES, INC.	Jul 20, 2005	Jan 30, 2006	194	Firm change	Other

Relationships

Registered with (5)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Jun 17, 2015 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 18, 2011 to Jun 16, 2015factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 28, 2009 to Apr 12, 2011factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Jan 9, 2009 to May 29, 2009factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jul 3, 2003 to Jul 20, 2005factForm ADV

Dated events

No dated event names this entity yet.