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

Aug 1, 2014earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S66

First exam

Jul 28, 2022

First registration

Jul 29, 2022

Dual registered

yes, broker-dealer

Other names

Alex Gumas

IAPD individual key

7378516

• Occurred

  Apr 26, 2023
  Advisor changed firm

  Alexander John Gumas left J.P. Morgan Private Wealth Advisors Llc for Ubs Financial Services Inc. (registered 2023-03-31)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:d93cdfac-bc6d-2d76-a6f5-ef1d14d90c91

First observed

Jul 29, 2022

Last observed

Sep 14, 2026 5 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.