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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

Alexander Earl Kaye

Advisor at UBS FINANCIAL SERVICES INC.

New York, NY | NEW YORK, NY | WELLESLEY, MA

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Search this name across graphsid dfx:ria:fc8a2ec2-baa5-89ec-3f7c-115b0f2491ad

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Sep 13, 2012 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: Sep 12, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 12, 2012
First registration: Sep 13, 2012
Dual registered: yes, broker-dealer
IAPD individual key: 5843134

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	Oct 10, 2024	n/a	yes	New York, NY\|WELLESLEY, MA\|NEW YORK, NY	Current employment
MASTERWORKS ADVISERS, LLC	Independent wealth	May 14, 2024	Jul 26, 2024	no	NEW YORK, NY	Previous registration
PLANMEMBER SECURITIES CORPORATION	Independent wealth	May 6, 2021	Jul 19, 2023	no	San Francisco, CA\|IRVINGTON, NY	Previous registration
MCMORGAN & COMPANY LLC	Other adviser	Jul 3, 2015	Apr 30, 2020	no	SAN FRANCISCO, CA	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Sep 13, 2012	Sep 13, 2013	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
MASTERWORKS ADVISERS, LLC	UBS FINANCIAL SERVICES INC.	Jul 26, 2024	Oct 10, 2024	76	Firm change	Other
PLANMEMBER SECURITIES CORPORATION	MASTERWORKS ADVISERS, LLC	Jul 19, 2023	May 14, 2024	300	Firm change	Other
MCMORGAN & COMPANY LLC	PLANMEMBER SECURITIES CORPORATION	Apr 30, 2020	May 6, 2021	371	Firm change	Other
CREDIT SUISSE SECURITIES (USA) LLC	MCMORGAN & COMPANY LLC	Sep 13, 2013	Jul 3, 2015	658	Firm change after gap	Other

Relationships

Registered with (5)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Oct 10, 2024 to presentfactForm ADV
→ MASTERWORKS ADVISERS, LLCRegistered adviserregistration: previous registration
May 14, 2024 to Jul 26, 2024factForm ADV
→ PLANMEMBER SECURITIES CORPORATIONRegistered adviserregistration: previous registration
May 6, 2021 to Jul 19, 2023factForm ADV
→ MCMORGAN & COMPANY LLCRegistered adviserregistration: previous registration
Jul 3, 2015 to Apr 30, 2020factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Sep 13, 2012 to Sep 13, 2013factForm ADV

Dated events

Occurred
Jul 26, 2024
Advisor changed firm
Alexander Earl Kaye left Masterworks Advisers, Llc for Ubs Financial Services Inc. (registered 2024-10-10)
Form ADVobserved 5 days ago
Occurred
Jul 19, 2023
Advisor changed firm
Alexander Earl Kaye left Planmember Securities Corporation for Masterworks Advisers, Llc (registered 2024-05-14)
Form ADVobserved 5 days ago