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RIA / WealthAdvisordual registered (broker-dealer)46 years in industry

PATRICIA ANN JOHNSON

Advisor at UBS FINANCIAL SERVICES INC.

LOS ANGELES, CA | Heber City, UT

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Search this name across graphsid dfx:ria:e437e5d1-80ae-021f-ac6b-83febfe18918

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 3, 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: Apr 26, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Apr 26, 1980
First registration: Mar 3, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 857569

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	Sep 17, 2012	n/a	yes	Heber City, UT\|LOS ANGELES, CA	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 10, 2012	no	PACIFIC PALISADES, CA\|BEVERLY HILLS, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	PALISADES, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Mar 3, 1999	Apr 2, 2007	no	PALISADES, CA\|PALISADES, 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
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Oct 10, 2012	Sep 17, 2012	-23	Firm change	Wirehouse to wirehouse
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

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Sep 17, 2012 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 10, 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
Mar 3, 1999 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.