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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

Dorian Michael Grady

Advisor at UBS FINANCIAL SERVICES INC.

SAN DIEGO, CA | WEEHAWKEN, NJ

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Search this name across graphsid dfx:ria:d0af8412-7b33-86b8-2ede-b7ea092caa34

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 2
On other graphs: 0
Observed: Nov 10, 2009 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: Nov 6, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 10
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 6, 2009
First registration: Nov 10, 2009
Dual registered: yes, broker-dealer
Other names: DORIAN M GRADY
IAPD individual key: 5714715

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 1, 2024	n/a	yes	WEEHAWKEN, NJ\|SAN DIEGO, CA	Current employment
DIVERSIFY ADVISORY SERVICES, LLC	Bd affiliated wealth	Dec 22, 2023	Oct 1, 2024	no	San Jose, CA\|SOUTH JORDAN, UT	Previous registration
DFPG INVESTMENTS, LLC	Former SEC adviser	Jul 17, 2019	Dec 22, 2023	no	SANDY, UT\|SOUTH JORDAN, UT\|San Diego, CA\|San Jose, CA	Previous registration
NATIONWIDE INVESTMENT ADVISORS, LLC	Bd affiliated wealth	Jun 15, 2018	Jun 26, 2019	no	COLUMBUS, OH	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Oct 15, 2016	Jun 22, 2018	no	Chicago, IL	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Oct 15, 2016	Jun 22, 2018	no	Chicago, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 15, 2014	Apr 25, 2016	no	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL	Previous registration
ASSETMARK, INC.	Bd affiliated wealth	Jul 23, 2012	May 6, 2014	no	CONCORD, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 5, 2011	Jul 5, 2012	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Feb 16, 2011	Sep 26, 2011	no	GRAND RAPIDS, MI	Previous registration
EDWARD JONES	National bd RIA	Nov 10, 2009	Feb 4, 2011	no	ST LOUIS, MO\|GRAND RAPIDS, MI\|Maryland Heights, MO	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
DIVERSIFY ADVISORY SERVICES, LLC	UBS FINANCIAL SERVICES INC.	Oct 1, 2024	Nov 1, 2024	31	Firm change	Ibd to wirehouse
DFPG INVESTMENTS, LLC	DIVERSIFY ADVISORY SERVICES, LLC	Dec 22, 2023	Dec 22, 2023	0	Firm change	RIA to ibd
NATIONWIDE INVESTMENT ADVISORS, LLC	DFPG INVESTMENTS, LLC	Jun 26, 2019	Jul 17, 2019	21	Firm change	Ibd to RIA
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	NATIONWIDE INVESTMENT ADVISORS, LLC	Jun 22, 2018	Jun 15, 2018	-7	Firm change	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jun 22, 2018	Oct 15, 2016	-615	Channel change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	TD AMERITRADE, INC.	Apr 25, 2016	Oct 15, 2016	173	Firm change	Other
ASSETMARK, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 6, 2014	Aug 15, 2014	101	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ASSETMARK, INC.	Jul 5, 2012	Jul 23, 2012	18	Firm change	Other
MSI FINANCIAL SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 26, 2011	Oct 5, 2011	9	Firm change	Other
EDWARD JONES	MSI FINANCIAL SERVICES, INC.	Feb 4, 2011	Feb 16, 2011	12	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
155576:326060:CA:2023-12-22	Dec 22, 2023	Dec 22, 2023	SAN JOSE, CA	Firm change
7870:111514:IL:2018-06-22	Jun 22, 2018	Oct 15, 2016	CHICAGO, IL	Firm change after gap

Relationships

Registered with (10)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Nov 1, 2024 to presentfactForm ADV
→ DIVERSIFY ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Dec 22, 2023 to Oct 1, 2024factForm ADV
→ DFPG INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jul 17, 2019 to Dec 22, 2023factForm ADV
→ NATIONWIDE INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 15, 2018 to Jun 26, 2019factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 15, 2016 to Jun 22, 2018factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Oct 15, 2016 to Jun 22, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 15, 2014 to Apr 25, 2016factForm ADV
→ ASSETMARK, INC.Registered adviserregistration: previous registration
Jul 23, 2012 to May 6, 2014factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 16, 2011 to Sep 26, 2011factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Nov 10, 2009 to Feb 4, 2011factForm ADV

Dated events

Occurred
Oct 1, 2024
Advisor changed firm
Dorian Michael Grady left Diversify Advisory Services, Llc for Ubs Financial Services Inc. (registered 2024-11-01)
Form ADVobserved 5 days ago
Occurred
Dec 22, 2023
Advisor changed firm
Dorian Michael Grady left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-12-22)
Form ADVobserved 5 days ago