Peter Michael Dorfman

Current Employers

Employment History

• 08/2006 → 12/2016
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 06/2026 → Present
  Steward Partners Global Advisory, Llc
  New York , NY
• 06/2026 → Present
  Steward Partners Investment Advisory, Llc
  New York, NY
• 06/2026 → Present
  Steward Partners Investment Solutions, Llc
  New York, NY
• 12/2016 → 06/2026
  Ubs Financial Services Inc.
  New York, NY

Previous Registrations

• 2016-12-01 → 2026-06-16
  Ubs Financial Services Inc.
  New York, NY
  Westport, CT
  New York, NY
  Snowmass Village, CO
  Westport, CT
• 2006-09-22 → 2016-12-02
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY

Other Businesses

1) FOR PROFIT OR NOT FOR PROFIT: FOR PROFIT / NAME OF OUTSIDE BUSINESS ORGANIZATION: KIRKWOOD PROPERTIES LLC / INVESTMENT RELATED: (YES OR NO) NO / ADDRESS OF BUSINESS: N/A / NATURE OF BUSINESS: LLC / YOUR POSITION, TITLE, ASSOCIATION: OWNER / START DATE OF RELATIONSHIP:05/08/2012 / NUMBER OF HOURS DEVOTED PER MONTH: 1 / NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 0 / YOUR DUTIES: THIS IS A RENTAL PROPERTY THAT HAS TENANTS AND IS MANAGED BY A PROPERTY MANAGEMENT COMPANY, SUPERIOR REALTY. GROSS RENT IS APPROXIMATELY 12K PER YEAR. /// 2) FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION / NAME OF OUTSIDE BUSINESS ORGANIZATION: REAL ESTATE / RENTAL PROPERTY / INVESTMENT RELATED: N / ADDRESS OF BUSINESS: WESTPORT, CONNECTICUT 6880 / NATURE OF BUSINESS: LLC / POSITION, TITLE, ASSOCIATION: OWNER / START DATE OF RELATIONSHIP: 12/1/2005 / NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY / NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 / DUTIES: OTHER /// 3) NAME OF OTHER BUSINESS: Westport Police Foundation/ INVESTMENT RELATED?: N / ADDRESS: Westport, CT / NATURE OF THE BUSINESS: It's a foundation to support the local community in conjunction with the local police department / POSITION: Member of Board of Directors/ DUTIES: Meet four times a year to discuss ways the foundation can invest in the community and support the police department/ START DATE:8/8/22 / HOURS DEVOTED TO BUSINESS:NA /// 4) Eagle Square, LLC / Partnership / Multi use commercial real estate / Partner / passive investor /// 5) ZD Capital / Partnership / To hold UBS approved outside investments / Partner / Help select investments

Exams

• S66 Uniform Combined State Law Examination
  1998-10-26

Other Names

• Peter M Dorfman