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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

KAREN IRENE SPINK

Advisor at UBS FINANCIAL SERVICES INC.

SEATTLE, WA | Seattle, WA

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Search this name across graphsid dfx:ria:932fcca2-c546-26fb-2c86-16e54cd0e48c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 6, 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: Oct 3, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Oct 3, 2005
First registration: Jun 6, 2008
Dual registered: yes, broker-dealer
Other names: KAREN IRENE MUYCO|KAREN IRENE OLIVER
IAPD individual key: 4816058

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	Mar 8, 2016	n/a	yes	SEATTLE, WA\|Seattle, WA	Current employment
MORGAN STANLEY	Wirehouse	Jan 4, 2011	Nov 18, 2015	no	Seattle, WA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Jul 13, 2010	no	SEATTLE, WA\|BURIEN, WA\|BURIEN, WA\|DES MOINES, WA\|EDMONDS, WA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Jun 6, 2008	May 2, 2009	no	SEATTLE, WA\|LYNNWOOD, WA\|SEATTLE, WA\|BELLEVUE, WA\|LYNNWOOD, WA	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
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Nov 18, 2015	Mar 8, 2016	111	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	MORGAN STANLEY	Jul 13, 2010	Jan 4, 2011	175	Firm change	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Mar 8, 2016 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jan 4, 2011 to Nov 18, 2015factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Jul 13, 2010factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Jun 6, 2008 to May 2, 2009factForm ADV

Dated events

No dated event names this entity yet.