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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

DAVID MARTIN DODD

Advisor at UBS FINANCIAL SERVICES INC.

SAN DIEGO, CA | HOUSTON, TX

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Search this name across graphsid dfx:ria:a51d5c01-aca7-d768-8f32-c931488daaeb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 3, 1997 to Sep 15, 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: Nov 18, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Nov 18, 1986
First registration: Jan 3, 1997
Dual registered: yes, broker-dealer
IAPD individual key: 1065148

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	Jan 1, 2010	n/a	yes	HOUSTON, TX\|SAN DIEGO, CA	Current employment
UBS INTERNATIONAL INC.	n/a	Aug 5, 2005	Jan 1, 2010	no	SAN DIEGO, CA\|NEW YORK, NY\|MIAMI, FL\|NEW YORK, NY\|NEW YORK, NY\|LOS ANGELES, CA\|SAN DIEGO, CA\|BEVERLY HILLS, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Aug 8, 2005	no	MIAMI, FL	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Jan 3, 1997	Jul 1, 2003	no	MIAMI, FL	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
UBS INTERNATIONAL INC.	UBS FINANCIAL SERVICES INC.	Jan 1, 2010	Jan 1, 2010	0	Bulk transfer	Other
WELLS FARGO ADVISORS	UBS INTERNATIONAL INC.	Aug 8, 2005	Aug 5, 2005	-3	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Jan 1, 2010 to presentfactForm ADV
→ UBS INTERNATIONAL INC.Registered adviserregistration: previous registration
Aug 5, 2005 to Jan 1, 2010factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Aug 8, 2005factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Jan 3, 1997 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.