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

Allison Cloud

Advisor at UBS FINANCIAL SERVICES INC.

Katy, TX | HOUSTON, TX

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Search this name across graphsid dfx:ria:7be5be89-e647-3999-687a-af333baeb4a1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 13, 2006 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: Oct 24, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Oct 24, 2006
First registration: Nov 13, 2006
Dual registered: yes, broker-dealer
Other names: . .|ALLISON MAE FINLEY|ALLISON M. FINLEY|ALLISON M. CLOUD|ALLISON FINLEY CLOUD
IAPD individual key: 4783723

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	Nov 30, 2018	n/a	yes	HOUSTON, TX\|Katy, TX	Current employment
ENCOMPASS ADVISORY SERVICES, LLC	Independent wealth	Aug 11, 2016	Nov 14, 2018	no	KATY, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 22, 2014	Jun 23, 2016	no	HOUSTON, TX	Previous registration
NATIONWIDE SECURITIES, LLC	No RAUM reported	Jul 12, 2012	Jul 9, 2014	no	KATY, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 13, 2006	Mar 12, 2012	no	HOUSTON, TX\|WEEHAWKEN, NJ\|HOUSTON, TX	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
ENCOMPASS ADVISORY SERVICES, LLC	UBS FINANCIAL SERVICES INC.	Nov 14, 2018	Nov 30, 2018	16	Firm change	RIA to wirehouse
UBS FINANCIAL SERVICES INC.	ENCOMPASS ADVISORY SERVICES, LLC	Jun 23, 2016	Aug 11, 2016	49	Firm change	Wirehouse to RIA
NATIONWIDE SECURITIES, LLC	UBS FINANCIAL SERVICES INC.	Jul 9, 2014	Jul 22, 2014	13	Firm change	Other
UBS FINANCIAL SERVICES INC.	NATIONWIDE SECURITIES, LLC	Mar 12, 2012	Jul 12, 2012	122	Firm change	Wirehouse to new firm

Relationships

Registered with (3)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 22, 2014 to Jun 23, 2016factForm ADV
→ ENCOMPASS ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Aug 11, 2016 to Nov 14, 2018factForm ADV
→ NATIONWIDE SECURITIES, LLCRegistered adviserregistration: previous registration
Jul 12, 2012 to Jul 9, 2014factForm ADV

Dated events

No dated event names this entity yet.