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Detailed Report
Ryan Dorff
CRD#: 4741748
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 18500 LAKE ROAD
SUITE 400
ROCKY RIVER, OH 44116
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2009 (5 years)2 FIRMS2009 - 2012 (2 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2024 - Present (1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2023 - Present (1 year)
License(s)

State Registrations

B
Alabama 6/25/2024
B
Montana 6/25/2024
B
Arizona 6/25/2024
B
Nevada 6/25/2024
B
California 6/25/2024
B
New Hampshire 6/25/2024
B
Colorado 6/25/2024
B
New Jersey 6/25/2024
B
Connecticut 6/25/2024
B
New Mexico 6/25/2024
B
District of Columbia 6/25/2024
B
New York 6/25/2024
B
Florida 6/25/2024
B
North Carolina 6/25/2024
B
Georgia 6/25/2024
B
Ohio 1/30/2024
B
Hawaii 6/25/2024
IA
Ohio 1/30/2024
B
Idaho 6/25/2024
B
Oregon 6/25/2024
B
Illinois 6/25/2024
B
Pennsylvania 6/25/2024
B
Indiana 6/25/2024
B
Rhode Island 6/25/2024
B
Iowa 6/25/2024
B
South Carolina 6/25/2024
B
Kentucky 6/25/2024
B
Tennessee 6/25/2024
B
Maryland 6/25/2024
B
Texas 6/25/2024
B
Massachusetts 6/25/2024
B
Utah 6/25/2024
B
Michigan 6/25/2024
B
Virginia 6/25/2024
B
Minnesota 6/25/2024
B
Washington 6/25/2024
B
Missouri 6/25/2024
B
Wisconsin 1/8/2025

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
18500 LAKE ROAD SUITE 400, ROCKY RIVER, OH 44116
Registered with this firm since 1/30/2024
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
18500 LAKE ROAD SUITE 400, ROCKY RIVER, OH 44116
Registered with this firm since 12/19/2023
Previous Registration(s)
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IA
 06/01/2009 - 02/27/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) CHICAGO, IL
B
 06/01/2009 - 02/27/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) CHICAGO, IL
IA
 08/16/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CHICAGO, IL
B
 01/27/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) COLUMBUS, OH
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.