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

Nov 1, 2013earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

15

Exams

S66

First exam

Jun 26, 2021

First registration

Jun 26, 2021

Dual registered

yes, broker-dealer

Other names

Sophia Newman

IAPD individual key

7111524

• Occurred

  Sep 12, 2024
  Advisor changed firm

  Sophia K Newman left Morgan Stanley for Ubs Financial Services Inc. (registered 2024-08-30)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:a4bd6aaa-80af-c286-fbbc-0731ce43efef

First observed

Jun 26, 2021

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.