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DANIEL ASOREY
CRD#: 6059875
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 SE 2ND STREET
27TH FLOOR
MIAMI, FL 33131
Registration History
201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BMORGAN STANLEY (CRD# 149777)2023 - 2024 (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2014 - 2023 (9 years)BAXA ADVISORS, LLC (CRD# 6627)2012 - 2013 (1 year)IAMORGAN STANLEY (CRD# 149777)2024 - 2024 (<1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2014 - 2018 (4 years)IAAXA ADVISORS, LLC (CRD# 6627)2013 - 2013 (<1 year)
License(s)

State Registrations

B
Arkansas 4/15/2024

B
Michigan 4/15/2024

B
California 4/15/2024

B
Missouri 4/15/2024

B
Colorado 8/21/2024

B
Nevada 6/5/2024

B
Connecticut 4/15/2024

B
New Jersey 4/15/2024

B
Delaware 4/15/2024

B
New York 4/15/2024

B
District of Columbia 4/15/2024

B
North Carolina 4/15/2024

B
Florida 4/15/2024

B
Pennsylvania 4/15/2024

IA
Florida 5/17/2024

B
Puerto Rico 4/15/2024

B
Georgia 4/15/2024

B
South Dakota 4/15/2024

B
Illinois 6/5/2024

B
Texas 4/15/2024

B
Kentucky 4/15/2024

IA
Texas 4/15/2024

B
Maine 6/5/2024

B
Virginia 4/15/2024

B
Maryland 4/15/2024

B
Wyoming 4/15/2024

B
Massachusetts 4/15/2024

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

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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)
100 SE 2ND STREET 27TH FLOOR, MIAMI, FL 33131
Registered with this firm since 4/15/2024

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 SE 2ND STREET 27TH FLOOR, MIAMI, FL 33131
Registered with this firm since 4/15/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/15/2024 - 04/16/2024 MORGAN STANLEY (CRD#:149777) Miami, FL
B
12/08/2023 - 04/16/2024 MORGAN STANLEY (CRD#:149777) Miami, FL
B
01/15/2014 - 11/25/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) Miami, FL
IA
01/17/2014 - 09/10/2018 J.P. MORGAN SECURITIES LLC (CRD#:79) Miami, FL
IA
10/28/2013 - 12/06/2013 AXA ADVISORS, LLC (CRD#:6627) MIAMI, FL
B
06/27/2012 - 12/06/2013 AXA ADVISORS, LLC (CRD#:6627) MIAMI, FL
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B
Broker
IA
Investment Adviser
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.