DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Scott Larson Collins

Advisor at UBS FINANCIAL SERVICES INC.

NASHVILLE, TN | DENVER, CO | Castle Rock, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:dfb30087-c286-7b1d-e7e6-afc4ce8286ce

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Apr 15, 1999 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: Sep 14, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Sep 14, 1998
First registration: Apr 15, 1999
Dual registered: yes, broker-dealer
Other names: SCOTT L COLLINS
IAPD individual key: 3121276

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	Jun 20, 2017	n/a	yes	DENVER, CO\|NASHVILLE, TN\|Castle Rock, CO	Current employment
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	May 7, 2012	Jun 12, 2017	no	DENVER, CO	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Mar 27, 2012	no	GREENWOOD VILLAGE, CO	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	CENTENNIAL, CO\|DENVER, CO	Previous registration
MORGAN STANLEY DW INC.	n/a	Feb 6, 2007	Apr 2, 2007	no	DENVER, CO	Previous registration
ADVISORS ASSET MANAGEMENT, INC.	Mixed wealth	Feb 22, 2006	Jan 30, 2007	no	MONUMENT, CO	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Apr 12, 2005	Feb 21, 2006	no	LOS ANGELES, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Sep 23, 2004	no	ENCINO, CA	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Apr 15, 1999	Jul 1, 2003	no	ENCINO, CA	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
ADVICE AND PLANNING SERVICES	UBS FINANCIAL SERVICES INC.	Jun 12, 2017	Jun 20, 2017	8	Firm change	Other
MORGAN STANLEY	ADVICE AND PLANNING SERVICES	Mar 27, 2012	May 7, 2012	41	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
ADVISORS ASSET MANAGEMENT, INC.	MORGAN STANLEY DW INC.	Jan 30, 2007	Feb 6, 2007	7	Firm change	Other
WELLS FARGO ADVISORS	ADVISORS ASSET MANAGEMENT, INC.	Feb 21, 2006	Feb 22, 2006	1	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (8)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Jun 20, 2017 to presentfactForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
May 7, 2012 to Jun 12, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Mar 27, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Feb 6, 2007 to Apr 2, 2007factForm ADV
→ ADVISORS ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Feb 22, 2006 to Jan 30, 2007factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 12, 2005 to Feb 21, 2006factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Apr 15, 1999 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.