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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

MICHAEL SCOTT BROMBERG

Advisor at UBS FINANCIAL SERVICES INC.

NEW YORK, NY

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Search this name across graphsid dfx:ria:86edca65-e55a-8923-3dbe-c65407bea8de

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 17, 2005 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: Feb 23, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Feb 23, 1995
First registration: Feb 17, 2005
Dual registered: yes, broker-dealer
Other names: MICHAEL SCOTT BROMBERG|MICHAEL BROMBERG
IAPD individual key: 2586900

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	Jun 2, 2023	n/a	yes	NEW YORK, NY	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 18, 2014	Jun 5, 2023	no	NEW YORK, NY	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Feb 21, 2014	no	New York, NY	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Jul 30, 2007	Jun 1, 2009	no	NEW YORK, NY	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 17, 2005	Aug 8, 2007	no	NEW YORK, NY\|NEW YORK, NY	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Jun 5, 2023	Jun 2, 2023	-3	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 21, 2014	Feb 18, 2014	-3	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY & CO. LLC	Aug 8, 2007	Jul 30, 2007	-9	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
7691:8174:NY:2023-06-05	Jun 5, 2023	Jun 2, 2023	NEW YORK, NY	Firm change

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 17, 2005 to Aug 8, 2007factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 18, 2014 to Jun 5, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Feb 21, 2014factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Jul 30, 2007 to Jun 1, 2009factForm ADV

Dated events

Occurred
Jun 5, 2023
Advisor changed firm
Michael Scott Bromberg left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Ubs Financial Services Inc. (registered 2023-06-02)
Form ADVobserved 3 days ago