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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

BRADLEY HOWARD BARTEL

Advisor at UBS FINANCIAL SERVICES INC.

ROCKY RIVER, OH | Avon Lake, OH

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 7, 2005 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: Feb 7, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Feb 18, 2005
First registration: Feb 7, 2005
Dual registered: yes, broker-dealer
Other names: BRADLEY BARTEL
IAPD individual key: 4874599

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	Feb 4, 2011	n/a	yes	ROCKY RIVER, OH\|Avon Lake, OH	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 25, 2008	Feb 3, 2011	no	BEACHWOOD, OH\|WOODMERE, OH	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 25, 2008	Feb 3, 2011	no	Orange Village, OH	Previous registration
NATCITY INVESTMENTS, INC.	n/a	Jun 13, 2007	Jan 31, 2008	no	UNIVERSITY HEIGHTS, OH	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 7, 2005	Apr 2, 2007	no	CLEVELAND, OH\|CLEVELAND, OH	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
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 3, 2011	Feb 25, 2008	-1,074	Firm change after gap	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Feb 3, 2011	Feb 25, 2008	-1,074	Channel change	Other
NATCITY INVESTMENTS, INC.	TD AMERITRADE, INC.	Jan 31, 2008	Feb 25, 2008	25	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	NATCITY INVESTMENTS, INC.	Apr 2, 2007	Jun 13, 2007	72	Firm change	Other

Relationships

Registered with (5)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Feb 4, 2011 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 25, 2008 to Feb 3, 2011factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 25, 2008 to Feb 3, 2011factForm ADV
→ NATCITY INVESTMENTS, INC.Registered adviserregistration: previous registration
Jun 13, 2007 to Jan 31, 2008factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 7, 2005 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.