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

Carl W Litsch

Advisor at UBS FINANCIAL SERVICES INC.

Sudbury, MA | WEEHAWKEN, NJ | BOSTON, MA

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Search this name across graphsid dfx:ria:b38e5dcf-656c-60d9-7bf8-5a25fd6e10c0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 26, 2011 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: Jun 10, 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: 1
Exams: S66
First exam: Jun 10, 2003
First registration: Jul 26, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 4654528

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	Dec 23, 2020	n/a	yes	BOSTON, MA\|WEEHAWKEN, NJ\|Sudbury, MA	Current employment
ATLANTIC FINANCIAL	State registered	Mar 7, 2018	Feb 11, 2020	no	DURHAM, NH	Previous registration
SANTANDER SECURITIES	Bd affiliated wealth	Mar 22, 2016	Jun 27, 2017	no	LEXINGTON, MA\|Boston, MA\|Framingham, MA\|Boston, MA	Previous registration
MORGAN STANLEY	Wirehouse	Jul 26, 2011	Mar 28, 2016	no	BOSTON, MA\|Portland, ME\|Watertown, NY\|Syracuse, NY\|Syracuse, 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
ATLANTIC FINANCIAL	UBS FINANCIAL SERVICES INC.	Feb 11, 2020	Dec 23, 2020	316	Firm change	Other
SANTANDER SECURITIES	ATLANTIC FINANCIAL	Jun 27, 2017	Mar 7, 2018	253	Firm change	Other
MORGAN STANLEY	SANTANDER SECURITIES	Mar 28, 2016	Mar 22, 2016	-6	Firm change	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Dec 23, 2020 to presentfactForm ADV
→ ATLANTIC FINANCIALRegistered adviserregistration: previous registration
Mar 7, 2018 to Feb 11, 2020factForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Mar 22, 2016 to Jun 27, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jul 26, 2011 to Mar 28, 2016factForm ADV

Dated events

No dated event names this entity yet.