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Daniel M Holzer

Ubs Financial Services Inc.

Westport, CT

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-11-13
NY RA APPROVED 2025-11-10
TX RA APPROVED 2025-11-10
  • CT RA
    APPROVED
    Since 2025-11-13
  • NY RA
    APPROVED
    Since 2025-11-10
  • TX RA
    APPROVED
    Since 2025-11-10

Branch Locations

8 Wright Street, Westport, CT 06880-4701 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Fairfield CT 06/2009 11/2025
Morgan Stanley Private Bank, N.A. New York NY 01/2015 11/2025
Ubs Financial Services Inc. Westport CT 11/2025 Present
  • 06/2009 → 11/2025
    Morgan Stanley Smith Barney Llc
    Fairfield, CT
  • 01/2015 → 11/2025
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 11/2025 → Present
    Ubs Financial Services Inc.
    Westport, CT
Previous Registrations
  • 2020-05-12 → 2025-11-12
    Morgan Stanley
    New York, NY
    New York, NY
    Fairfield, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-09-02
S63 Uniform Securities Agent State Law Examination 1997-05-30
  • S65 Uniform Investment Adviser Law Examination
    2021-09-02
  • S63 Uniform Securities Agent State Law Examination
    1997-05-30
Other Names
  • Dan Holzer

View on SEC IAPD

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