Dorian Lisa Waserman

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2014 → 11/2016
  Wells Fargo Advisors Llc
  Fort Lauderdale, FL
• 11/2016 → 10/2021
  Wells Fargo Clearing Services, Llc
  Fort Lauderdale, FL
• 11/2021 → Present
  Ubs Financial Services Inc.
  Plantation, FL

Previous Registrations

• 2014-04-02 → 2021-10-29
  Wells Fargo Clearing Services, Llc
  Fort Lauderdale, FL
• 2007-11-26 → 2014-03-28
  Ubs Financial Services Inc.
  Boca Raton, FL
• 2005-06-27 → 2007-08-24
  Oppenheimer & Co. Inc.
  Fort Lauderdale, FL
  Ft Lauderdale, FL
• 2003-07-01 → 2005-05-06
  Wells Fargo Clearing Services, Llc
  Fort Lauderdale, FL
• 1998-06-17 → 2003-07-01
  Prudential Equity Group, Llc
  Ft Lauderdale, FL

Exams

• S66 Uniform Combined State Law Examination
  2012-10-01
• S63 Uniform Securities Agent State Law Examination
  1999-06-02

Other Names

• Dorian Lisa Militello