DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

Dina Lirosi

Advisor at UBS FINANCIAL SERVICES INC.

BROOKLYN, NY | WASHINGTON, DC

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:f6d4d069-0078-c853-6521-aa16ac8602bf

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 19, 2011 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, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 4
Exams: S66
First exam: Sep 14, 2011
First registration: Sep 19, 2011
Dual registered: yes, broker-dealer
Other names: dina lucia lirosi|DINA LIROSI
IAPD individual key: 5320095

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	Jan 11, 2018	n/a	yes	BROOKLYN, NY\|WASHINGTON, DC	Current employment
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Oct 10, 2017	Dec 22, 2017	no	NEW YORK, NY	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Apr 21, 2017	Oct 17, 2017	no	NEW YORK, NY	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	May 15, 2015	May 2, 2017	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 19, 2011	May 15, 2015	no	NEW YORK, NY\|NEW YORK, NY\|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
JANNEY MONTGOMERY SCOTT LLC	UBS FINANCIAL SERVICES INC.	Dec 22, 2017	Jan 11, 2018	20	Firm change	Other
RBC CAPITAL MARKETS, LLC	JANNEY MONTGOMERY SCOTT LLC	Oct 17, 2017	Oct 10, 2017	-7	Firm change	Other
UBS FINANCIAL SERVICES INC.	RBC CAPITAL MARKETS, LLC	May 2, 2017	Apr 21, 2017	-11	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	May 15, 2015	May 15, 2015	0	Firm change	Wirehouse to wirehouse

Team moves

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

Team	Left	Joined	From	Kind
8174:31194:NY:2017-05-02	May 2, 2017	Apr 21, 2017	NEW YORK, NY	Firm change

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 15, 2015 to May 2, 2017factForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Oct 10, 2017 to Dec 22, 2017factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Apr 21, 2017 to Oct 17, 2017factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 19, 2011 to May 15, 2015factForm ADV

Dated events

No dated event names this entity yet.