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, 2015earliest registration or exam on IAPD

Years in industry

11derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S66

First exam

Jun 12, 2023

First registration

Jul 10, 2023

Dual registered

yes, broker-dealer

IAPD individual key

7701353

• Occurred

  Mar 19, 2024
  Advisor changed firm

  Juliana Lombardo left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Ubs Financial Services Inc. (registered 2024-05-20)

  Form ADVobserved 4 days ago
• Occurred

  Aug 11, 2023
  Advisor changed firm

  Juliana Lombardo left Equitable Advisors, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-09-11)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:7cadf593-d745-cb1d-9abf-33fb0a3bcd7a

First observed

Jul 10, 2023

Last observed

Sep 14, 2026 5 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.