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

Oct 5, 1994earliest 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

1

Current registrations

1

Registered states

2

Exams

S63|S66|S65

First exam

Oct 5, 1994

First registration

Sep 21, 2017

Dual registered

yes, broker-dealer

Other names

ROGER ALAN FELDMAN|Roger Feldman

IAPD individual key

1048607

• Occurred

  Oct 12, 2022
  Advisor changed firm

  Roger Alan Feldman left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Ubs Financial Services Inc. (registered 2022-10-10)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:9fbc58a4-e985-509d-7b7e-6d4c909ef27a

First observed

Sep 21, 2017

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.