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

Sep 1, 2015earliest registration or exam on IAPD

Years in industry

11derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S66

First exam

Aug 20, 2020

First registration

Aug 21, 2020

Dual registered

yes, broker-dealer

Other names

David Eugenio Garcia

IAPD individual key

6520168

• Occurred

  May 7, 2024
  Advisor changed firm

  David Garcia left Citigroup Global Markets Inc. for Ubs Financial Services Inc. (registered 2024-07-01)

  Form ADVobserved 5 days ago
• Occurred

  Sep 12, 2022
  Advisor changed firm

  David Garcia left Morgan Stanley for Citigroup Global Markets Inc. (registered 2022-10-06)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:a3e570e3-4b85-e308-0373-b8991f9216b0

First observed

Aug 21, 2020

Last observed

Sep 14, 2026 6 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.