DFX Intelligence
Advisor moves
Departures from UBS Financial Services Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
11,772 moves
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Andrew Lavrennikov | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Nov 19, 2025 | Nov 8, 2025 |
| Blas Timothy Rementeria-Lee | UBS Financial Services Inc. wirehouse | Cerity Partners LLC independent RIA | Wirehouse to independent RIA | Nov 19, 2025 | Nov 20, 2025 |
| Alex James Wozniak | UBS Financial Services Inc. wirehouse | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 19, 2025 | Dec 3, 2025 |
| Vicente Castillo | UBS Financial Services Inc. wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 17, 2025 | Dec 1, 2025 |
| Kevin Charles Rohner | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Nov 17, 2025 | Oct 30, 2025 |
| Stephen Michael | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Nov 12, 2025 | Nov 10, 2025 |
| Kristie Lynn Waldorf | UBS Financial Services Inc. wirehouse | Arax Advisory Partners independent RIA | Wirehouse to independent RIA | Nov 11, 2025 | Nov 20, 2025 |
| Marc Connor Harrell | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 11, 2025 | Nov 5, 2025 |
| Mark Hirshler Heller | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Nov 10, 2025 | Oct 30, 2025 |
| Diana Dalton Stieffel | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Nov 10, 2025 | Oct 30, 2025 |
| Andrew Brian Noto | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Nov 10, 2025 | Oct 30, 2025 |
| Ashley Ravencroft | UBS Financial Services Inc. wirehouse | Charles Schwab & Co., Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Nov 7, 2025 | Nov 18, 2025 |
| John Weaver | UBS Financial Services Inc. wirehouse | Charles Schwab & Co., Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Nov 6, 2025 | Mar 23, 2026 (137 d) |
| Connor Patrick Maguire | UBS Financial Services Inc. wirehouse | Neuberger Berman Bd LLC no RAUM | Other | Nov 6, 2025 | Nov 18, 2025 |
| John Al Aras | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Nov 5, 2025 | Oct 27, 2025 |
| Summer Verdugo | UBS Financial Services Inc. wirehouse | Edelman Financial Engines independent RIA | Wirehouse to independent RIA | Nov 3, 2025 | Nov 7, 2025 |
| Tommy L Smith | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Oct 31, 2025 | Oct 20, 2025 |
| Allen Jeffrey Belice | UBS Financial Services Inc. wirehouse | Janney Montgomery Scott LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 27, 2025 | Oct 16, 2025 |
| Carlos Rodriguez Aspirichaga | UBS Financial Services Inc. wirehouse | Citigroup Global Markets Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 27, 2025 | Nov 14, 2025 |
| Natalia Vazquez Radoszycki | UBS Financial Services Inc. wirehouse | Citigroup Global Markets Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 27, 2025 | Nov 13, 2025 |
| Kaitlyn Mae Leininger | UBS Financial Services Inc. wirehouse | Janney Montgomery Scott LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 27, 2025 | Oct 16, 2025 |
| Heidi Scali | UBS Financial Services Inc. wirehouse | Strategic Advisers LLC national BD | Wirehouse to affiliated broker-dealer or bank | Oct 22, 2025 | Nov 12, 2025 |
| Timothy William Seeger | UBS Financial Services Inc. wirehouse | Concurrent Investment Advisors, LLC independent RIA | Wirehouse to independent RIA | Oct 22, 2025 | Oct 6, 2025 |
| Kevin N Kitt | UBS Financial Services Inc. wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Oct 21, 2025 | Oct 10, 2025 |
| Thomas Christopher Richter | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Oct 21, 2025 | Oct 20, 2025 |
| David Smith | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Oct 20, 2025 | Oct 16, 2025 |
| Taylor Depenaloza | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Oct 20, 2025 | Oct 9, 2025 |
| Bryan Chiu | UBS Financial Services Inc. wirehouse | Fisher Investments independent RIA | Wirehouse to independent RIA | Oct 20, 2025 | Mar 16, 2026 (147 d) |
| William Scott Perez | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Oct 20, 2025 | Oct 10, 2025 |
| Melissa Riven Mirabile | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 17, 2025 | Oct 8, 2025 |
| Brandon Michael Pruss | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Oct 17, 2025 | Oct 6, 2025 |
| Jennefer A Bartholomew | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Oct 17, 2025 | Oct 3, 2025 |
| Casey Hunter Mirabile | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 17, 2025 | Oct 8, 2025 |
| Preston Muha | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Oct 17, 2025 | Oct 6, 2025 |
| Lars Olson | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 17, 2025 | Oct 8, 2025 |
| David Vadakekkara | UBS Financial Services Inc. wirehouse | Lord, Abbett & Co. LLC asset manager | Other | Oct 17, 2025 | Nov 5, 2025 |
| Evan Danu | UBS Financial Services Inc. wirehouse | Validus Capital LLC independent RIA | Wirehouse to independent RIA | Oct 16, 2025 | Jan 15, 2026 (91 d) |
| Gregory Couch | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Oct 14, 2025 | Oct 2, 2025 |
| William Couch | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Oct 14, 2025 | Oct 2, 2025 |
| Steven Meyers | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Oct 14, 2025 | Oct 3, 2025 |
| Eric Delagarza | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Oct 14, 2025 | Oct 2, 2025 |
| Mohammed Azizur Miah | UBS Financial Services Inc. wirehouse | O'Shaughnessy Asset Management, LLC independent RIA | Wirehouse to independent RIA | Oct 14, 2025 | Oct 20, 2025 |
| Sandrea Brooks | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Oct 14, 2025 | Oct 3, 2025 |
| Michael Francis Shoaf | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Oct 10, 2025 | Sep 30, 2025 |
| Bryant Gregory Shirreffs | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Oct 10, 2025 | Sep 30, 2025 |
| Albana Droboniku | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Oct 9, 2025 | Nov 21, 2025 (43 d) |
| Brian Thomas Whitney | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Oct 7, 2025 | Sep 26, 2025 |
| Jennifer Graves | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 7, 2025 | Oct 1, 2025 |
| James Morgan Edwards | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Oct 7, 2025 | Sep 18, 2025 |
| Tricia Ann Fitzsimons | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Oct 6, 2025 | Sep 25, 2025 |
| Angus Miller | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Oct 6, 2025 | Sep 26, 2025 |
| Kristen Charlton | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Oct 6, 2025 | Sep 26, 2025 |
| Mark A Steinberg | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Oct 6, 2025 | Sep 26, 2025 |
| Jonathan Mario Modiano | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Oct 6, 2025 | Sep 26, 2025 |
| Adam Michael Jones | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Oct 6, 2025 | Sep 25, 2025 |
| Daniel Joseph Welsh | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Oct 6, 2025 | Sep 25, 2025 |
| Andrew James Plum | UBS Financial Services Inc. wirehouse | Elevation Point Wealth Partners, LLC independent RIA | Wirehouse to independent RIA | Oct 1, 2025 | Sep 19, 2025 |
| Codie Jean Allen | UBS Financial Services Inc. wirehouse | Elevation Point Wealth Partners, LLC independent RIA | Wirehouse to independent RIA | Oct 1, 2025 | Sep 25, 2025 |
| Thomas Cullen | UBS Financial Services Inc. wirehouse | Elevation Point Wealth Partners, LLC independent RIA | Wirehouse to independent RIA | Oct 1, 2025 | Sep 19, 2025 |
| Taylor Brandon Marsh | UBS Financial Services Inc. wirehouse | Elevation Point Wealth Partners, LLC independent RIA | Wirehouse to independent RIA | Oct 1, 2025 | Sep 19, 2025 |