DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Aaron Michael Daugherty

Advisor at UBS FINANCIAL SERVICES INC.

LAKE OSWEGO, OR

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:fa7e71a9-3a46-9a94-e5e4-3d18868f1cf5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 3, 2011 to Sep 14, 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 17, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Apr 17, 2006
First registration: Aug 3, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 5122086

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	Jul 12, 2018	n/a	yes	LAKE OSWEGO, OR	Current employment
TD AMERITRADE, INC.	Former SEC adviser	May 14, 2018	Jun 1, 2018	no	SALEM, OR	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2018	Jun 1, 2018	no	OMAHA, NE	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Apr 19, 2017	Feb 26, 2018	no	SAINT LOUIS, MO	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Dec 19, 2012	Oct 7, 2015	no	PORTLAND, OR\|ARLINGTON, VA	Previous registration
ADVANCED EQUITIES, INC.	Former SEC adviser	Aug 3, 2011	Jul 3, 2012	no	SAN FRANCISCO, 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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jun 1, 2018	May 14, 2018	-18	Bulk transfer	Other
TD AMERITRADE, INC.	UBS FINANCIAL SERVICES INC.	Jun 1, 2018	Jul 12, 2018	41	Firm change	Other
SCOTTRADE INVESTMENT MANAGEMENT	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 26, 2018	Feb 26, 2018	0	Bulk transfer	Ibd to RIA
E*TRADE CAPITAL MANAGEMENT, LLC	SCOTTRADE INVESTMENT MANAGEMENT	Oct 7, 2015	Apr 19, 2017	560	Firm change after gap	Other
ADVANCED EQUITIES, INC.	E*TRADE CAPITAL MANAGEMENT, LLC	Jul 3, 2012	Dec 19, 2012	169	Firm change	Other

Relationships

Registered with (6)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Jul 12, 2018 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2018 to Jun 1, 2018factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
May 14, 2018 to Jun 1, 2018factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Apr 19, 2017 to Feb 26, 2018factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 19, 2012 to Oct 7, 2015factForm ADV
→ ADVANCED EQUITIES, INC.Registered adviserregistration: previous registration
Aug 3, 2011 to Jul 3, 2012factForm ADV

Dated events

No dated event names this entity yet.