DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

HELEN ADAMS VOLLMER

Advisor at UBS FINANCIAL SERVICES INC.

SAN FRANCISCO, CA | Moraga, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c4848faa-df22-e750-52ba-48682c038a95

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 30, 2002 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: Oct 14, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 14, 1994
First registration: Jul 30, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2548661

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 3, 2012	n/a	yes	SAN FRANCISCO, CA\|Moraga, CA	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Dec 11, 2012	no	SAN FRANCISCO, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 7, 2007	Jun 1, 2009	no	SAN FRANCISCO, CA	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Jan 17, 2003	Sep 4, 2007	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA	Previous registration
PERSHING LLC	n/a	Jul 30, 2002	Jan 17, 2003	no	SAN FRANCISCO, CA	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.	Dec 11, 2012	Dec 3, 2012	-8	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
CREDIT SUISSE SECURITIES (USA) LLC	CITIGROUP GLOBAL MARKETS INC.	Sep 4, 2007	Aug 7, 2007	-28	Firm change	Other
PERSHING LLC	CREDIT SUISSE SECURITIES (USA) LLC	Jan 17, 2003	Jan 17, 2003	0	Bulk transfer	Other

Relationships

Registered with (5)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Dec 3, 2012 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Dec 11, 2012factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 7, 2007 to Jun 1, 2009factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Jan 17, 2003 to Sep 4, 2007factForm ADV
→ PERSHING LLCRegistered adviserregistration: previous registration
Jul 30, 2002 to Jan 17, 2003factForm ADV

Dated events

No dated event names this entity yet.