DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)29 years in industry

WILLIAM CHARLES STANTON

Advisor at UBS FINANCIAL SERVICES INC.

Massapequa Park, NY | NEW YORK, NY | PARAMUS, NJ

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:f43f40cf-1f2d-5236-d904-97e629b5a078

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 31, 1998 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 27, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Sep 27, 1996
First registration: Mar 31, 1998
Dual registered: yes, broker-dealer
Other names: WILLIAM CHARLES STANTON
IAPD individual key: 2785118

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	Aug 6, 2021	n/a	yes	PARAMUS, NJ\|NEW YORK, NY\|Massapequa Park, NY	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2008	Aug 3, 2021	no	NEW YORK, NY\|New York, NY\|New York, NY\|New York, NY\|Garden City, NY	Previous registration
J.P. MORGAN SECURITIES INC.	n/a	Sep 6, 2007	Oct 1, 2008	no	NEW YORK, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Oct 11, 2005	Jun 20, 2006	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
ERNST & YOUNG INVESTMENT ADVISERS LLP	No RAUM reported	Mar 31, 1998	Apr 14, 2005	no	NEW YORK, NY	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
J.P. MORGAN SECURITIES LLC	UBS FINANCIAL SERVICES INC.	Aug 3, 2021	Aug 6, 2021	3	Firm change	Wirehouse to wirehouse
J.P. MORGAN SECURITIES INC.	J.P. MORGAN SECURITIES LLC	Oct 1, 2008	Oct 1, 2008	0	Bulk transfer	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES INC.	Jun 20, 2006	Sep 6, 2007	443	Firm change after gap	Other
ERNST & YOUNG INVESTMENT ADVISERS LLP	CHASE INVESTMENT SERVICES CORP.	Apr 14, 2005	Oct 11, 2005	180	Firm change	Other

Relationships

Registered with (5)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Aug 6, 2021 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2008 to Aug 3, 2021factForm ADV
→ J.P. MORGAN SECURITIES INC.Registered adviserregistration: previous registration
Sep 6, 2007 to Oct 1, 2008factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Oct 11, 2005 to Jun 20, 2006factForm ADV
→ ERNST & YOUNG INVESTMENT ADVISERS LLPRegistered adviserregistration: previous registration
Mar 31, 1998 to Apr 14, 2005factForm ADV

Dated events

No dated event names this entity yet.