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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

DAVID WALTER DEMAREST

Advisor at UBS FINANCIAL SERVICES INC.

LEXINGTON, KY

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Search this name across graphsid dfx:ria:935037fc-30cd-ea1a-b6aa-ca6b1e94cff5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 1, 2004 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: Oct 29, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 29, 2004
First registration: Nov 1, 2004
Dual registered: yes, broker-dealer
Other names: DAVID DEMAREST
IAPD individual key: 4843128

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 6, 2012	n/a	yes	LEXINGTON, KY	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2008	May 15, 2012	no	LEXINGTON, KY	Previous registration
J.P. MORGAN SECURITIES INC.	n/a	Jun 3, 2008	Oct 1, 2008	no	LEXINGTON, KY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 1, 2004	Jun 4, 2008	no	LEXINGTON, KY\|LEXINGTON, KY	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
J.P. MORGAN SECURITIES LLC	UBS FINANCIAL SERVICES INC.	May 15, 2012	Aug 6, 2012	83	Firm change	Wirehouse to wirehouse
J.P. MORGAN SECURITIES INC.	J.P. MORGAN SECURITIES LLC	Oct 1, 2008	Oct 1, 2008	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES INC.	Jun 4, 2008	Jun 3, 2008	-1	Firm change	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Aug 6, 2012 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2008 to May 15, 2012factForm ADV
→ J.P. MORGAN SECURITIES INC.Registered adviserregistration: previous registration
Jun 3, 2008 to Oct 1, 2008factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 1, 2004 to Jun 4, 2008factForm ADV

Dated events

No dated event names this entity yet.