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 1, 2008earliest registration or exam on IAPD

Years in industry

18derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

3

Exams

S65|S63

First exam

Jan 19, 2018

First registration

Oct 16, 2019

Dual registered

yes, broker-dealer

Other names

James Cargill|James D Cargill

IAPD individual key

6893444

• Occurred

  Nov 21, 2025
  Advisor changed firm

  James David Cargill left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Ubs Financial Services Inc. (registered 2025-11-19)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:70a2da7b-37fb-162c-310a-56ba175cc468

First observed

Oct 16, 2019

Last observed

Sep 14, 2026 6 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.