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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

KIMBERLEY ANN MILANI

Advisor at UBS FINANCIAL SERVICES INC.

Wappingers Falls, NY | NEW YORK, NY

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Search this name across graphsid dfx:ria:73df1d18-d919-c28f-2b5d-6ae4183062eb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 6, 2012 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: Dec 29, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Dec 29, 2011
First registration: Jan 6, 2012
Dual registered: yes, broker-dealer
Other names: KIMBERLEY ANN MERLO|Kimberley Merlo
IAPD individual key: 5564218

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	Jul 25, 2018	n/a	yes	NEW YORK, NY\|Wappingers Falls, NY	Current employment
STRATEGIC ADVISERS LLC	National bd RIA	Aug 13, 2015	Jul 12, 2018	no	PARAMUS, NJ	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Mar 7, 2012	Jul 30, 2015	no	PARAMUS, NJ	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Jan 6, 2012	Feb 28, 2012	no	TEANECK, NJ	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
STRATEGIC ADVISERS LLC	UBS FINANCIAL SERVICES INC.	Jul 12, 2018	Jul 25, 2018	13	Firm change	Ibd to wirehouse
RBC CAPITAL MARKETS, LLC	STRATEGIC ADVISERS LLC	Jul 30, 2015	Aug 13, 2015	14	Firm change	Ibd to ibd
CETERA ADVISOR NETWORKS LLC	RBC CAPITAL MARKETS, LLC	Feb 28, 2012	Mar 7, 2012	8	Firm change	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Jul 25, 2018 to presentfactForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Aug 13, 2015 to Jul 12, 2018factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Mar 7, 2012 to Jul 30, 2015factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Jan 6, 2012 to Feb 28, 2012factForm ADV

Dated events

No dated event names this entity yet.