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

Mar 7, 1996earliest registration or exam on IAPD

Years in industry

30derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Exams

S66|S63

First exam

Mar 7, 1996

First registration

Jun 21, 2005

Dual registered

yes, broker-dealer

IAPD individual key

2716778

• Occurred

  Oct 25, 2024
  Advisor changed firm

  William James Duncan left Ameriprise Financial Services, Llc for Ubs Financial Services Inc. (registered 2024-10-23)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:99f48f16-d253-1552-a9e5-db5a7be4d22c

First observed

Jun 21, 2005

Last observed

Sep 14, 2026 7 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.