Registered advisors
Every investment adviser representative in the SEC’s records, each with a profile: firms, branch, career, exams, designations and disclosures.
- 398,301Registered advisersEvery investment adviser representative
- 304,895Dually registered77% are also broker reps
- 93,406Adviser onlyNot registered with a broker-dealer
- 25,639FirmsWhere they're registered
- 56,898CFPs11,003 CFAs, 12,693 ChFCs
From the SEC’s compilation report of October 24, 2026, refreshed every morning. +89 since the file before. 53 firm joins and 232 departures in the latest file. 9 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.
9 advisors
| Advisor | Firm | Registration | Designations | Joined firm | Registered since |
|---|---|---|---|---|---|
| 1Gregory B. AlfordMontgomery, AL | UBS Financial Services Inc. | Adviser and broker | – | Atlas | 1993 |
| 2Margaret A. DauphinMontgomery, AL | UBS Financial Services Inc. | Adviser and broker | – | Atlas | 2004 |
| 3Daniel J. DeanMontgomery, AL | UBS Financial Services Inc. | Adviser and broker | – | Atlas | 2006 |
| 4Morgan M. DuettMontgomery, AL | UBS Financial Services Inc. | Adviser and broker | – | Atlas | 2026 |
| 5Amy A. GarriganMontgomery, AL | UBS Financial Services Inc. | Adviser and broker | – | Atlas | 2007 |
| 6Kevin N. HaynesMontgomery, AL | UBS Financial Services Inc. | Adviser and broker | – | Atlas | 1997 |
| 7Brandi L. JonesGardendale, AL | UBS Financial Services Inc. | Adviser and broker | – | Atlas | 2015 |
| 8John R. Reynolds IIBirmingham, AL | UBS Financial Services Inc. | Adviser and broker | – | Atlas | 2021 |
| 9Carl R. R. WatsonMontgomery, AL | UBS Financial Services Inc. | Adviser and broker | – | Atlas | 2001 |
From the SEC’s Investment Adviser Public Disclosure compilation report: investment adviser representatives, including those also registered as broker representatives. Personal contact details aren’t included.