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.

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

Jan 1, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S66

First exam

Oct 20, 2023

First registration

Oct 21, 2023

Dual registered

yes, broker-dealer

IAPD individual key

7569000

• Occurred

  Sep 14, 2026
  Advisor changed firm

  Ava P Doney left Merrill Lynch, Pierce, Fenner & Smith Incorporated for UBS Financial Services Inc. (registered 2026-09-16)

  Form ADVobserved 2 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:d0f56928-8b88-d781-e998-8e797edbff25

First observed

Oct 21, 2023

Last observed

Sep 17, 2026 3 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.