DFX Intelligence
Advisor moves
Departures from UBS Financial Services Inc.What a move isA 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 |
|---|---|---|---|---|---|
| Kathleen Caton Burke | UBS Financial Services Inc. wirehouse | Elevation Point Wealth Partners, LLC independent RIA | Wirehouse to independent RIA | Oct 1, 2025 | Sep 29, 2025 |
| Peter Burchell | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 30, 2025 | Sep 19, 2025 |
| Gregory Paul Gottlieb | UBS Financial Services Inc. wirehouse | Concurrent Investment Advisors, LLC independent RIA | Wirehouse to independent RIA | Sep 30, 2025 | Sep 22, 2025 |
| Christopher David Giuliani | UBS Financial Services Inc. wirehouse | Wealth Enhancement Advisory Services, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 30, 2025 | Oct 2, 2025 |
| Donna Lee Mackie Campbell | UBS Financial Services Inc. wirehouse | Stifel, Nicolaus & Company, Incorporated national BD | Wirehouse to affiliated broker-dealer or bank | Sep 29, 2025 | Sep 19, 2025 |
| John Eugene Geoghan | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Sep 29, 2025 | Oct 27, 2025 |
| Baljit Kaur Gill | UBS Financial Services Inc. wirehouse | Hohimer Wealth Management, LLC independent RIA | Wirehouse to independent RIA | Sep 29, 2025 | Jul 14, 2026 (288 d) |
| Adriana Maria Da Cruz | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 29, 2025 | Oct 9, 2025 |
| Meredith Campbell | UBS Financial Services Inc. wirehouse | Stifel, Nicolaus & Company, Incorporated national BD | Wirehouse to affiliated broker-dealer or bank | Sep 29, 2025 | Sep 19, 2025 |
| Jacob A Schuster | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Sep 29, 2025 | Oct 27, 2025 |
| Katherine Emma Clark | UBS Financial Services Inc. wirehouse | Dimensional Fund Advisors LP asset manager | Other | Sep 29, 2025 | Oct 3, 2025 |
| Shaun Michael Rowles | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Sep 26, 2025 | Sep 17, 2025 |
| Sara Bresnahan | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 25, 2025 | Oct 7, 2025 |
| Dewey Gilbert Buhr | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Sep 24, 2025 | Sep 22, 2025 |
| Giancarla Marie Ferrara | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Sep 24, 2025 | Feb 19, 2026 (148 d) |
| Carrie Horlings | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 23, 2025 | Sep 10, 2025 |
| James Thomas Borda | UBS Financial Services Inc. wirehouse | World Investment Advisors, LLC other | Other | Sep 23, 2025 | Oct 22, 2025 |
| Spencer Michael Devito | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 23, 2025 | Sep 26, 2025 |
| Tayte Elliott Irvine | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 23, 2025 | Oct 17, 2025 |
| Steven Alan Kalodner | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Sep 22, 2025 | Sep 10, 2025 |
| Michael Steven Lee | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 19, 2025 | Sep 10, 2025 |
| Bradley Stephen Saler | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Sep 19, 2025 | Sep 10, 2025 |
| Brian Andrew Blackburn | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 19, 2025 | Sep 11, 2025 |
| Steve Nadeem Armaly | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 19, 2025 | Sep 10, 2025 |
| Jeffrey Scott Allen | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 19, 2025 | Sep 10, 2025 |
| Michael J. Coles | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Sep 19, 2025 | Sep 10, 2025 |
| Nicholas Sangster Ray | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 19, 2025 | Sep 10, 2025 |
| Alejandro P Gambirazio | UBS Financial Services Inc. wirehouse | Bci Securities, Inc. mixed wealth | Wirehouse to independent RIA | Sep 19, 2025 | Oct 21, 2025 (32 d) |
| Brandon Taylor Mills | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 19, 2025 | Sep 10, 2025 |
| Marley Stone Landrum | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 19, 2025 | Sep 10, 2025 |
| Allison K Lane | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 19, 2025 | Dec 17, 2025 (89 d) |
| Kyle Andrew Goff | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 19, 2025 | Sep 10, 2025 |
| Paul Miller | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 18, 2025 | Sep 9, 2025 |
| Maria Briggs | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 18, 2025 | Sep 9, 2025 |
| Nicholas P Moura | UBS Financial Services Inc. wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Sep 18, 2025 | Aug 20, 2025 |
| Patricia A Green | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Sep 17, 2025 | Aug 13, 2026 (330 d) |
| Brian Robert Drumhiller | UBS Financial Services Inc. wirehouse | Capital Advisors Wealth Management independent RIA | Wirehouse to independent RIA | Sep 17, 2025 | Aug 15, 2025 |
| Jackson Reese Shubert | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 17, 2025 | Sep 30, 2025 |
| Richard Jambrina | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 16, 2025 | Sep 5, 2025 |
| Allison Sarah Johnson | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 16, 2025 | Aug 25, 2025 |
| Alexander Theodore Chumas | UBS Financial Services Inc. wirehouse | Seia BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 16, 2025 | Sep 10, 2025 |
| Melissa Danielle Frazier | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2025 | Sep 3, 2025 |
| Nicholas Timothy Pistoresi | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2025 | Sep 3, 2025 |
| Thomas Anthony Ochinero | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2025 | Sep 3, 2025 |
| Elizabeth Campbell Parker | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Sep 15, 2025 | Sep 24, 2025 |
| Trey J. Garrison | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Sep 15, 2025 | Sep 17, 2025 |
| Clinton Wesley Moore | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 12, 2025 | Sep 3, 2025 |
| Alex Pittz | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 12, 2025 | Sep 3, 2025 |
| Brian James Gudgel | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 12, 2025 | Sep 3, 2025 |
| Edward Frank Macha | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 12, 2025 | Sep 3, 2025 |
| Ronald Bryan Ewing | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 12, 2025 | Sep 3, 2025 |
| Andres Curiel | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 12, 2025 | Sep 3, 2025 |
| Keira M Rawlings | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Sep 10, 2025 | Mar 25, 2026 (196 d) |
| James Edward Chiate | UBS Financial Services Inc. wirehouse | Sanctuary Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 10, 2025 | Aug 15, 2025 |
| Anthony Daniel Guinane | UBS Financial Services Inc. wirehouse | Sanctuary Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 10, 2025 | Aug 15, 2025 |
| Syndie Tina Levien | UBS Financial Services Inc. wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Sep 9, 2025 | Sep 2, 2025 |
| Carol Lynn Mani Johnston | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Sep 9, 2025 | Aug 29, 2025 |
| Kim Sheets | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Sep 9, 2025 | Aug 28, 2025 |
| Anthony Brookfield | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Sep 9, 2025 | Aug 28, 2025 |
| Kimberly Kay Sellars | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Sep 9, 2025 | Aug 29, 2025 |