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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

MICHAEL JAMES O'HARA

Advisor at UBS FINANCIAL SERVICES INC.

NEW YORK, NY | GREENWICH, CT | Garden City, NY

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Search this name across graphsid dfx:ria:b12631ed-7c5d-d925-c4e5-2ef5912109b7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 8, 2003 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: Sep 5, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 5
Exams: S66
First exam: Sep 5, 2003
First registration: Sep 8, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4687811

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 13, 2021	n/a	yes	NEW YORK, NY\|GREENWICH, CT\|Garden City, NY	Current employment
MORGAN STANLEY	Wirehouse	Aug 23, 2013	Jan 12, 2021	no	New York, NY\|New York, NY\|Warren, NJ	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Sep 16, 2005	Sep 5, 2013	no	Morristown, NJ\|NEW YORK, NY\|WHIPPANY, NJ\|NEW YORK, NY	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Sep 8, 2003	Sep 29, 2005	no	FLORHAM PARK, NJ	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.	Jan 12, 2021	Jan 13, 2021	1	Firm change	Wirehouse to wirehouse
J.P. MORGAN SECURITIES LLC	MORGAN STANLEY	Sep 5, 2013	Aug 23, 2013	-13	Firm change	Wirehouse to wirehouse
RBC CAPITAL MARKETS, LLC	J.P. MORGAN SECURITIES LLC	Sep 29, 2005	Sep 16, 2005	-13	Firm change	Ibd to wirehouse

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Jan 13, 2021 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 23, 2013 to Jan 12, 2021factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Sep 16, 2005 to Sep 5, 2013factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Sep 8, 2003 to Sep 29, 2005factForm ADV

Dated events

No dated event names this entity yet.