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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

CARMEN MILAGROS MARRERO

Advisor at UBS FINANCIAL SERVICES INC.

WEEHAWKEN, NJ | Webster, NY

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Search this name across graphsid dfx:ria:776e458b-0c3e-a5c3-6380-3454a630ffbc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 19, 2008 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: Jul 16, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jul 16, 2007
First registration: Mar 19, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 4222914

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	Aug 16, 2021	n/a	yes	WEEHAWKEN, NJ\|Webster, NY	Current employment
ATLANTIC FAMILY WEALTH, LLC	Independent wealth	Dec 18, 2020	Sep 16, 2021	no	CORAL GABLES, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 8, 2016	Jun 16, 2016	no	MIAMI, FL	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jan 16, 2014	Dec 1, 2015	no	CORAL GABLES, FL	Previous registration
BARCLAYS CAPITAL INC.	Former SEC adviser	Jan 21, 2009	Dec 23, 2013	no	MIAMI, FL	Previous registration
LEHMAN BROTHERS INC.	n/a	Mar 19, 2008	Oct 15, 2008	no	MIAMI, FL\|NEW YORK, NY\|NEW YORK, NY\|MIAMI, FL\|MIAMI, FL	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
ATLANTIC FAMILY WEALTH, LLC	UBS FINANCIAL SERVICES INC.	Sep 16, 2021	Aug 16, 2021	-31	Firm change after gap	RIA to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ATLANTIC FAMILY WEALTH, LLC	Jun 16, 2016	Dec 18, 2020	1,646	Firm change after gap	Wirehouse to RIA
OPPENHEIMER & CO. INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 1, 2015	Feb 8, 2016	69	Firm change	Other
BARCLAYS CAPITAL INC.	OPPENHEIMER & CO. INC.	Dec 23, 2013	Jan 16, 2014	24	Firm change	Other
LEHMAN BROTHERS INC.	BARCLAYS CAPITAL INC.	Oct 15, 2008	Jan 21, 2009	98	Bulk transfer	Other

Relationships

Registered with (6)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Aug 16, 2021 to presentfactForm ADV
→ ATLANTIC FAMILY WEALTH, LLCRegistered adviserregistration: previous registration
Dec 18, 2020 to Sep 16, 2021factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 8, 2016 to Jun 16, 2016factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Jan 16, 2014 to Dec 1, 2015factForm ADV
→ BARCLAYS CAPITAL INC.Registered adviserregistration: previous registration
Jan 21, 2009 to Dec 23, 2013factForm ADV
→ LEHMAN BROTHERS INC.Registered adviserregistration: previous registration
Mar 19, 2008 to Oct 15, 2008factForm ADV

Dated events

No dated event names this entity yet.