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 |
|---|---|---|---|---|---|
| Melissa Victoria Godinez | UBS Financial Services Inc. wirehouse | Ktf Investments, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Sep 9, 2025 | Aug 29, 2025 |
| Bryan Louis White | UBS Financial Services Inc. wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 9, 2025 | Aug 29, 2025 |
| Joshua R. Axel | UBS Financial Services Inc. wirehouse | Ktf Investments, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Sep 9, 2025 | Aug 29, 2025 |
| Rodrigo Aramburu | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 9, 2025 | Aug 28, 2025 |
| Damian Hedley | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Sep 9, 2025 | Aug 28, 2025 |
| Thomas Bradley Neff | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Sep 9, 2025 | Aug 28, 2025 |
| Anne D Guzman | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 9, 2025 | Aug 28, 2025 |
| Erica Frantz | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 9, 2025 | Aug 28, 2025 |
| Michael Gregory Neff | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Sep 9, 2025 | Aug 28, 2025 |
| Sean Anthony Allen | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Sep 9, 2025 | Sep 9, 2025 |
| Judith Vanessa Otero | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 9, 2025 | Aug 28, 2025 |
| Emma Virginia Carey | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Sep 9, 2025 | Aug 29, 2025 |
| Jordyn Anderson | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 9, 2025 | Aug 28, 2025 |
| Deborah Lea Mclain | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Sep 9, 2025 | Aug 28, 2025 |
| Joseph Burns | UBS Financial Services Inc. wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Sep 9, 2025 | Aug 25, 2026 (350 d) |
| Jess Donato Sansone | UBS Financial Services Inc. wirehouse | Ktf Investments, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Sep 9, 2025 | Aug 29, 2025 |
| Robert Mark Buchanan, | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Sep 8, 2025 | Aug 31, 2025 |
| Allen Roy Mellow | UBS Financial Services Inc. wirehouse | Ktf Investments, LLC no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Sep 8, 2025 | Aug 29, 2025 |
| Mark Buchanan | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Sep 8, 2025 | Aug 28, 2025 |
| John Earle Neff | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Sep 8, 2025 | Aug 28, 2025 |
| Jenna Celina Trolson | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 5, 2025 | Sep 25, 2025 |
| Ralph H Short Jr. | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Sep 4, 2025 | Aug 11, 2025 |
| Alejandro Cardona-Torres | UBS Financial Services Inc. wirehouse | Cerity Partners LLC independent RIA | Wirehouse to independent RIA | Sep 4, 2025 | Sep 24, 2025 |
| Randy Lee Wiggs | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 2, 2025 | Aug 22, 2025 |
| Michael Simone | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 2, 2025 | Aug 22, 2025 |
| John Mark Rogers | UBS Financial Services Inc. wirehouse | Stifel, Nicolaus & Company, Incorporated national BD | Wirehouse to affiliated broker-dealer or bank | Sep 2, 2025 | Aug 21, 2025 |
| Sarah Elizabeth-Jane Munger | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Sep 2, 2025 | Sep 8, 2025 |
| Emillian Udekigbo | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 2, 2025 | Oct 9, 2025 (37 d) |
| Kaley D Youngcourt | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Sep 2, 2025 | Oct 2, 2025 |
| Ryan Michael Kasakove | UBS Financial Services Inc. wirehouse | Vanguard Advisers, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 2, 2025 | Nov 5, 2025 (64 d) |
| Scott Adam Fox | UBS Financial Services Inc. wirehouse | Charles Schwab & Co., Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Aug 29, 2025 | Sep 18, 2025 |
| Jaymi Farrell | UBS Financial Services Inc. wirehouse | Ameriprise Financial Services, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Aug 28, 2025 | Sep 3, 2025 |
| Jessica M Heckel | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Aug 28, 2025 | Sep 24, 2025 |
| Andrew Rathbun Wilson | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Aug 27, 2025 | Aug 15, 2025 |
| James Harold Leonard | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Aug 26, 2025 | Aug 15, 2025 |
| Annalisa Rada-Mcgee | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Aug 26, 2025 | Aug 15, 2025 |
| Owen Joseph Galasso | UBS Financial Services Inc. wirehouse | Sanctuary Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 26, 2025 | Aug 15, 2025 |
| Daniel Stuart Mason | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Aug 26, 2025 | Aug 15, 2025 |
| Edward Brian Murphy | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Aug 26, 2025 | Aug 14, 2025 |
| Brian Joshua Berry | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Aug 26, 2025 | Aug 15, 2025 |
| Thomas William Kelleher | UBS Financial Services Inc. wirehouse | Allspring Funds Management, LLC asset manager | Other | Aug 21, 2025 | Aug 28, 2025 |
| Anthony Robert Paolini | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Aug 21, 2025 | Aug 18, 2025 |
| Ty Lawrence Grogan | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Aug 21, 2025 | Sep 19, 2025 |
| Stephen Lemonte Johnson | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Aug 20, 2025 | Sep 1, 2025 |
| Colette Kathleen Powers | UBS Financial Services Inc. wirehouse | RBC Capital Markets, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Aug 19, 2025 | Aug 8, 2025 |
| Beverley Mason Hawfield | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Aug 19, 2025 | Aug 7, 2025 |
| Raul Fernandez | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Aug 19, 2025 | Sep 15, 2025 |
| Graham Michael Parsons | UBS Financial Services Inc. wirehouse | Cerity Partners LLC independent RIA | Wirehouse to independent RIA | Aug 19, 2025 | Nov 7, 2025 (80 d) |
| Thomas Sigler Sloane | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Aug 15, 2025 | Jul 24, 2025 |
| Steven Hrones | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Aug 14, 2025 | Jul 24, 2025 |
| David James Larado | UBS Financial Services Inc. wirehouse | Sapient Capital LLC independent RIA | Wirehouse to independent RIA | Aug 14, 2025 | Aug 19, 2025 |
| Danielle Suzanne Tersaga | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Aug 14, 2025 | Jul 21, 2025 |
| Daniel M Corr | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Aug 14, 2025 | Jul 24, 2025 |
| Blaine David Andreadis | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 14, 2025 | Sep 18, 2025 (35 d) |
| Cole Joseph Andreadis | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Aug 14, 2025 | Jul 21, 2025 |
| Robert Taylor | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Aug 12, 2025 | Aug 1, 2025 |
| Kimberly Guha | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Aug 12, 2025 | Aug 1, 2025 |
| Kevin Fennell | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Aug 12, 2025 | Aug 1, 2025 |
| Samuel Oh | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Aug 12, 2025 | Aug 1, 2025 |
| Melinda Jane Perry | UBS Financial Services Inc. wirehouse | Rockefeller Capital Management BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 8, 2025 | Aug 6, 2025 |