DFX Intelligence

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

JOHN HOWARD ADELMAN

Advisor at UBS FINANCIAL SERVICES INC.

New York, NY | Johns Island, SC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a5d83273-c01e-3411-5c04-0f820397ce04

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 26, 1998 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: Oct 10, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 7
Exams: S65|S63
First exam: Oct 10, 1994
First registration: May 26, 1998
Dual registered: yes, broker-dealer
IAPD individual key: 1526309

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 22, 2009	n/a	yes	Johns Island, SC\|New York, NY	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 17, 2004	Jan 26, 2009	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
ALLIANCEBERNSTEIN L.P.	Other adviser	May 26, 1998	Oct 9, 2003	no	NEW YORK, NY	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Jan 26, 2009	Jan 22, 2009	-4	Firm change	Wirehouse to wirehouse
ALLIANCEBERNSTEIN L.P.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 9, 2003	Mar 17, 2004	160	Firm change	Other

Relationships

Registered with (3)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Jan 22, 2009 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 17, 2004 to Jan 26, 2009factForm ADV
→ ALLIANCEBERNSTEIN L.P.Registered adviserregistration: previous registration
May 26, 1998 to Oct 9, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5d83273-c01e-3411-5c04-0f820397ce04
First observed: May 26, 1998
Last observed: Sep 15, 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.

JOHN HOWARD ADELMAN

Advisor at UBS FINANCIAL SERVICES INC.

New York, NY | Johns Island, SC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a5d83273-c01e-3411-5c04-0f820397ce04

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:50 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

UBS FINANCIAL SERVICES INC.

Wirehouse

Jan 22, 2009

n/a

yes

Johns Island, SC|New York, NY

Current employment

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Mar 17, 2004

Jan 26, 2009

NEW YORK, NY|NEW YORK, NY

Previous registration

ALLIANCEBERNSTEIN L.P.

Other adviser

May 26, 1998

Oct 9, 2003

NEW YORK, NY

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

Jan 26, 2009

Jan 22, 2009

-4

Firm change

Wirehouse to wirehouse

ALLIANCEBERNSTEIN L.P.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Oct 9, 2003

Mar 17, 2004

160

Firm change

Other