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 10, 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

2

Current registrations

1

Registered states

2

Exams

S65|S63

First exam

Oct 10, 2013

First registration

Oct 10, 2013

Dual registered

yes, broker-dealer

Other names

J RUSSELL MORRISON|JAMES RUSSELL MORRISON

IAPD individual key

6246837

• Occurred

  Dec 1, 2023
  Advisor changed firm

  James Russell Morrison left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Ubs Financial Services Inc. (registered 2023-11-29)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:adaa8d50-647c-5c76-e1b6-d30bc57436c0

First observed

Oct 10, 2013

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.