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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Dorian Lisa Waserman

Advisor at UBS FINANCIAL SERVICES INC.

Plantation, FL | WEEHAWKEN, NJ

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Search this name across graphsid dfx:ria:bcb17548-831b-2cd6-c19e-398c159db430

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 17, 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: Jun 17, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jun 2, 1999
First registration: Jun 17, 1998
Dual registered: yes, broker-dealer
Other names: DORIAN LISA MILITELLO
IAPD individual key: 1867087

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	Nov 16, 2021	n/a	yes	Plantation, FL\|WEEHAWKEN, NJ	Current employment
WELLS FARGO ADVISORS	Wirehouse	Apr 2, 2014	Oct 29, 2021	no	FORT LAUDERDALE, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 26, 2007	Mar 28, 2014	no	BOCA RATON, FL	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jun 27, 2005	Aug 24, 2007	no	FORT LAUDERDALE, FL\|FT LAUDERDALE, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	May 6, 2005	no	FORT LAUDERDALE, FL	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Jun 17, 1998	Jul 1, 2003	no	FT LAUDERDALE, FL	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
WELLS FARGO ADVISORS	UBS FINANCIAL SERVICES INC.	Oct 29, 2021	Nov 16, 2021	18	Firm change	Wirehouse to wirehouse
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Mar 28, 2014	Apr 2, 2014	5	Firm change	Wirehouse to wirehouse
OPPENHEIMER & CO. INC.	UBS FINANCIAL SERVICES INC.	Aug 24, 2007	Nov 26, 2007	94	Firm change	Other
WELLS FARGO ADVISORS	OPPENHEIMER & CO. INC.	May 6, 2005	Jun 27, 2005	52	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:8174:FL:2021-10-25	Oct 29, 2021	Nov 16, 2021	FORT LAUDERDALE, FL	Firm change

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 26, 2007 to Mar 28, 2014factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 2, 2014 to Oct 29, 2021factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Jun 27, 2005 to Aug 24, 2007factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Jun 17, 1998 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.