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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

Nick Calegari

Advisor at UBS FINANCIAL SERVICES INC.

WEEHAWKEN, NJ | Blue Springs, MO

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Search this name across graphsid dfx:ria:af42ebad-eeb6-282f-2372-c89f65c004cc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 13, 2011 to Sep 14, 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: Jan 3, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Jan 3, 2008
First registration: Dec 13, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 5321539

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	Feb 18, 2022	n/a	yes	WEEHAWKEN, NJ\|Blue Springs, MO	Current employment
MORGAN STANLEY	Wirehouse	Sep 23, 2019	Feb 7, 2022	no	Dallas, TX\|Dallas, TX\|ABILENE, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 22, 2013	Aug 28, 2019	no	FORT WORTH, TX\|ADDISON, TX\|FORT WORTH, TX\|HURST, TX\|DALLAS, TX\|NORTH RICHLAND HILLS, TX\|NORTH RICHLAND HILLS, TX\|HALTOM CITY, TX\|HALTOM CITY, TX\|GRAND PRAIRIE, TX\|GRAND PRAIRIE, TX\|MANSFIELD, TX\|ARLINGTON, TX	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jan 4, 2012	Jul 27, 2012	no	FORT WORTH, TX	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Dec 13, 2011	Jul 27, 2012	no	OMAHA, NE\|FORT WORTH, TX\|FORT WORTH, TX	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
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Feb 7, 2022	Feb 18, 2022	11	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	MORGAN STANLEY	Aug 28, 2019	Sep 23, 2019	26	Firm change	Wirehouse to wirehouse
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	WELLS FARGO ADVISORS	Jul 27, 2012	Oct 22, 2013	452	Firm change after gap	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jul 27, 2012	Jan 4, 2012	-205	Channel change	Other

Relationships

Registered with (5)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Feb 18, 2022 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 23, 2019 to Feb 7, 2022factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 22, 2013 to Aug 28, 2019factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 4, 2012 to Jul 27, 2012factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Dec 13, 2011 to Jul 27, 2012factForm ADV

Dated events

Occurred
Feb 7, 2022
Advisor changed firm
Nick Calegari left Morgan Stanley for Ubs Financial Services Inc. (registered 2022-02-18)
Form ADVobserved 6 days ago