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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

VALERIE ROSALY

Advisor at UBS FINANCIAL SERVICES INC.

WESTFIELD, NJ | Hazlet, NJ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 26, 2002 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: Aug 12, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Aug 12, 1999
First registration: Aug 26, 2002
Dual registered: yes, broker-dealer
Other names: VALERIE SUSSMAN
IAPD individual key: 3024561

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	Oct 21, 2008	n/a	yes	WESTFIELD, NJ\|Hazlet, NJ	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 27, 2008	Nov 12, 2008	no	BROOKLYN, NY\|BROOKLYN, NY\|BROOKLYN, NY	Previous registration
IFMG SECURITIES, INC.	n/a	Jan 2, 2008	May 27, 2008	no	BROOKLYN, NY\|BROOKLYN, NY\|BROOKLYN, NY	Previous registration
PGIM INVESTMENTS LLC	Asset manager	Aug 26, 2002	May 30, 2003	no	NEWARK, NJ	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
LPL FINANCIAL LLC	UBS FINANCIAL SERVICES INC.	Nov 12, 2008	Oct 21, 2008	-22	Firm change	Other
IFMG SECURITIES, INC.	LPL FINANCIAL LLC	May 27, 2008	May 27, 2008	0	Bulk transfer	Other
PGIM INVESTMENTS LLC	IFMG SECURITIES, INC.	May 30, 2003	Jan 2, 2008	1,678	Firm change after gap	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Oct 21, 2008 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 27, 2008 to Nov 12, 2008factForm ADV
→ IFMG SECURITIES, INC.Registered adviserregistration: previous registration
Jan 2, 2008 to May 27, 2008factForm ADV
→ PGIM INVESTMENTS LLCRegistered adviserregistration: previous registration
Aug 26, 2002 to May 30, 2003factForm ADV

Dated events

No dated event names this entity yet.