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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

DARRICK JAMES WALKER

Advisor at UBS FINANCIAL SERVICES INC.

Danville, CA | Wilson, WY

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 11, 2001 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: Mar 24, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S63
First exam: Mar 24, 1994
First registration: May 11, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 2470800

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	Dec 4, 2020	n/a	yes	Danville, CA\|Wilson, WY	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 15, 2010	Dec 8, 2020	no	CASPER, WY\|PLEASANTON, CA\|PLEASANTON, CA\|WILSON, WY\|WILSON, WY\|WILSON, WY\|WILSON, WY\|PLEASANTON, CA\|NEWPORT BEACH, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 29, 2010	no	WILSON, WY\|WALNUT CREEK, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Oct 14, 2006	Jun 1, 2009	no	WALNUT CREEK, CA\|WILSON, WY	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Oct 18, 2006	no	WALNUT CREEK, CA\|NEWPORT BEACH, CA	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	May 11, 2001	Jul 1, 2003	no	WALNUT CREEK, 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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Dec 8, 2020	Dec 4, 2020	-4	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 29, 2010	Oct 15, 2010	-14	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
WELLS FARGO ADVISORS	CITIGROUP GLOBAL MARKETS INC.	Oct 18, 2006	Oct 14, 2006	-4	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:8174:CA:2020-12-08	Dec 8, 2020	Dec 4, 2020	NEWPORT BEACH, CA	Firm change

Relationships

Registered with (6)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Dec 4, 2020 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 15, 2010 to Dec 8, 2020factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 29, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Oct 14, 2006 to Jun 1, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Oct 18, 2006factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
May 11, 2001 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.