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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Colin Phelps | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Mar 31, 2026 | Apr 6, 2026 |
| Natalie Haller | UBS Financial Services Inc. wirehouse | Equitable Advisors, LLC national BD | Wirehouse to affiliated broker-dealer or bank | Mar 30, 2026 | Apr 10, 2026 |
| Kara Barbara Cooke | UBS Financial Services Inc. wirehouse | Mary & Pip no RAUM | Wirehouse to a newly registered adviser (no RAUM reported yet) | Mar 30, 2026 | Mar 27, 2026 |
| Qiyuan Chen | UBS Financial Services Inc. wirehouse | Td Private Client Wealth LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 30, 2026 | Aug 12, 2026 (135 d) |
| Lily Jesanis | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Mar 30, 2026 | Apr 10, 2026 |
| Laura Cervantes Holland | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 24, 2026 | Mar 12, 2026 |
| Peter Maloney | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Mar 24, 2026 | Mar 13, 2026 |
| Thomas Joseph Nieto | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 24, 2026 | Mar 12, 2026 |
| Neil Short | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Mar 24, 2026 | Mar 16, 2026 |
| Jason Sharpe | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Mar 24, 2026 | Mar 16, 2026 |
| Keith Michael Prybylski | UBS Financial Services Inc. wirehouse | Mercer Global Advisors Inc. independent RIA | Wirehouse to independent RIA | Mar 24, 2026 | Mar 30, 2026 |
| Kelvin You | UBS Financial Services Inc. wirehouse | Ernst & Young Investment Advisers Llp no RAUM | Other | Mar 24, 2026 | May 13, 2026 (50 d) |
| Frederick Davis Grand | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 24, 2026 | Mar 12, 2026 |
| Samantha Angelina Caruso | UBS Financial Services Inc. wirehouse | Raymond James Financial Services Advisors, Inc BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 24, 2026 | Apr 6, 2026 |
| Nicholas Burk | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Mar 24, 2026 | Mar 13, 2026 |
| Harrison Bertram Clark | UBS Financial Services Inc. wirehouse | Blue Financial independent RIA | Wirehouse to independent RIA | Mar 20, 2026 | Apr 6, 2026 |
| Jean Elizabeth Phelps | UBS Financial Services Inc. wirehouse | Janney Montgomery Scott LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 19, 2026 | Mar 9, 2026 |
| Jack Regan Malone | UBS Financial Services Inc. wirehouse | Neuberger Berman Bd LLC no RAUM | Other | Mar 19, 2026 | Mar 24, 2026 |
| Joseph Warren Mcvey | UBS Financial Services Inc. wirehouse | Fourstar Wealth Advisors, LLC independent RIA | Wirehouse to independent RIA | Mar 18, 2026 | Jun 2, 2026 (76 d) |
| Michael Mcpherson | UBS Financial Services Inc. wirehouse | Lord, Abbett & Co. LLC asset manager | Other | Mar 18, 2026 | Apr 16, 2026 |
| Justin Ramey | UBS Financial Services Inc. wirehouse | Oppenheimer & Co. Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 18, 2026 | Mar 10, 2026 |
| David Bunim Rosenthal | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 17, 2026 | Mar 17, 2026 |
| Cathleen Ann Wright | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 17, 2026 | Mar 5, 2026 |
| Matthew Kimmel | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 17, 2026 | Mar 6, 2026 |
| Kenneth Lee Webster | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 16, 2026 | Mar 5, 2026 |
| George Conley Thornhill | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 13, 2026 | Mar 4, 2026 |
| Laurie Jane Knutson | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 13, 2026 | Mar 3, 2026 |
| Keith Price Burke | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 13, 2026 | Mar 3, 2026 |
| Kelly Kitchens Castle | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 13, 2026 | Mar 4, 2026 |
| Derek James Cherne | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 13, 2026 | Mar 3, 2026 |
| Daniel Francis Miller | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 13, 2026 | Mar 3, 2026 |
| Joseph William Kolad | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 13, 2026 | Mar 5, 2026 |
| Andrew Michael Knutson | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 13, 2026 | Mar 3, 2026 |
| Lesley Nicole Rathbun | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 13, 2026 | Mar 4, 2026 |
| Jacob William Johnson | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 13, 2026 | Mar 3, 2026 |
| Douglas Morgan Rathbun | UBS Financial Services Inc. wirehouse | LPL Financial LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 13, 2026 | Mar 4, 2026 |
| Kathleen Ann Freiderich | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 12, 2026 | Mar 3, 2026 |
| Dean Jay Breitbach | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 12, 2026 | Mar 3, 2026 |
| Peter Michael Knutson | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 12, 2026 | Mar 3, 2026 |
| Douglas Cion | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Mar 12, 2026 | Feb 17, 2026 |
| Clayton Knutsen | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 12, 2026 | Mar 3, 2026 |
| Diana Squires | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Mar 10, 2026 | Mar 20, 2026 |
| Ryan John Emmons | UBS Financial Services Inc. wirehouse | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Wirehouse to wirehouse | Mar 10, 2026 | Mar 20, 2026 |
| Daniel Joseph Berger | UBS Financial Services Inc. wirehouse | Raymond James & Associates, Inc. national BD | Wirehouse to affiliated broker-dealer or bank | Mar 6, 2026 | Feb 25, 2026 |
| Alket Kociaj | UBS Financial Services Inc. wirehouse | Horizon Investments LLC asset manager | Other | Mar 6, 2026 | Mar 6, 2026 |
| Grantham Myers | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Mar 4, 2026 | Feb 13, 2026 |
| Matthew Steward | UBS Financial Services Inc. wirehouse | J.P. Morgan Securities LLC wirehouse | Wirehouse to wirehouse | Mar 2, 2026 | Mar 17, 2026 |
| Elvira Portera | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Feb 25, 2026 | Feb 27, 2026 |
| David Satin | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 25, 2026 | Mar 4, 2026 |
| Anthony Warren Nye | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Feb 24, 2026 | Feb 13, 2026 |
| David Krunch Whitfield Kloberdanz | UBS Financial Services Inc. wirehouse | Elevation Point Wealth Partners, LLC independent RIA | Wirehouse to independent RIA | Feb 24, 2026 | Feb 16, 2026 |
| Brian Lee Lowenthal | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Feb 24, 2026 | Feb 17, 2026 |
| Leeann Riddle | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Feb 24, 2026 | Feb 12, 2026 |
| Kristen Ann Bissett | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Feb 24, 2026 | Feb 17, 2026 |
| Michael Justin Runager | UBS Financial Services Inc. wirehouse | Elevation Point Wealth Partners, LLC independent RIA | Wirehouse to independent RIA | Feb 24, 2026 | Feb 16, 2026 |
| Pang Houa Lee Wong | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Feb 24, 2026 | Feb 27, 2026 |
| Jaclyn Rosaire Bellini | UBS Financial Services Inc. wirehouse | Morgan Stanley wirehouse | Wirehouse to wirehouse | Feb 24, 2026 | Feb 13, 2026 |
| Miles Stumb | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Feb 24, 2026 | Feb 12, 2026 |
| Jason Lee Schrimsher | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Feb 23, 2026 | Feb 12, 2026 |
| Jay William Desautels | UBS Financial Services Inc. wirehouse | Wells Fargo Advisors wirehouse | Wirehouse to wirehouse | Feb 23, 2026 | Feb 10, 2026 |
11,763 moves match.