DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

Maria Fatima Nicole Victoria

Advisor at UBS FINANCIAL SERVICES INC.

Los Angeles, CA

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:724525d3-71f4-645f-fa11-48c26efd9ab6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Dec 3, 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: Nov 19, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 19, 2009
First registration: Dec 3, 2009
Dual registered: yes, broker-dealer
Other names: MARIA FATIMA VICTORIA|MARIA FATIMA NICOLE VICTORIA|MARIA NICOLE VICTORIA|Maria Fatima Victoria
IAPD individual key: 5277403

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	Sep 10, 2026	n/a	yes	Los Angeles, CA	Current employment
MORGAN STANLEY	Wirehouse	Feb 22, 2022	Sep 9, 2026	no	Pasadena, CA\|Beverly Hills, CA\|Los Angeles, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 17, 2018	Feb 22, 2022	no	LOS ANGELES, CA\|ROLLING HILLS ESTATES, CA\|PASADENA, CA\|PASADENA, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jan 16, 2015	Nov 19, 2018	no	Pasadena, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 17, 2014	Dec 23, 2014	no	Los Angeles, CA	Previous registration
MORGAN STANLEY	Wirehouse	Dec 3, 2009	Jun 3, 2014	no	Sherman Oaks, CA\|Woodland Hills, CA\|Los Angeles, CA\|Beverly Hills, CA	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
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Sep 9, 2026	Sep 10, 2026	1	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Feb 22, 2022	Feb 22, 2022	0	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 19, 2018	Dec 17, 2018	28	Firm change	Wirehouse to wirehouse
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	Dec 23, 2014	Jan 16, 2015	24	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Jun 3, 2014	Jun 17, 2014	14	Firm change	Wirehouse to wirehouse

Team moves

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

Team	Left	Joined	From	Kind
7691:149777:CA:2022-02-22	Feb 22, 2022	Feb 22, 2022	PASADENA, CA	Firm change

Relationships

Registered with (3)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 17, 2014 to Dec 23, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Feb 22, 2022 to Sep 9, 2026factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 17, 2018 to Feb 22, 2022factForm ADV

Dated events

Occurred
Sep 9, 2026
Advisor changed firm
Maria Fatima Nicole Victoria left Morgan Stanley for Ubs Financial Services Inc. (registered 2026-09-10)
Form ADVobserved 5 days ago
Occurred
Feb 22, 2022
Advisor changed firm
Maria Fatima Nicole Victoria left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Morgan Stanley (registered 2022-02-22)
Form ADVobserved 5 days ago