Franklin Xie
Investment Adviser Representative at UBS Financial Services Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Franklin Xie is an investment adviser representative with UBS Financial Services Inc. in Nashville, TN, where they have been registered since 2025. They have worked in the securities industry since 2025 and were previously registered with Florida Financial Advisors, LLC. They have passed 3 industry qualification exams, including the Series 65 (investment adviser) and Series 99 (operations professional). They are registered to provide investment advice in Texas.
Office
Advisors at this office: 16
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Florida Financial Advisors DBA Tristate Financial AdvisorsOct 2023 – Jan 2024Nashville, TN
- Clarence Brown TheatreJan 2020 – Apr 2020Knoxville, TN
- Ichiban Japanese CuisineMay 2020 – Jul 2022Nashville, TN
- Davidson AcademyAug 2013 – May 2019Nashville, TN
- University of Tennessee, KnoxvilleAug 2019 – May 2023Knoxville, TN
- Kyoto Japanese CuisineJun 2023 – Sep 2023Ashland City, TN
- Kyoto Japanese CuisineFeb 2024 – Mar 2024Ashland City, TN
- Hay'sApr 2024 – Aug 2024Nashville, TN
- UBS Financial Services, Inc.Sep 2024 – no end date reportedNashville, TN
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About UBS Financial Services Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 9,380
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Weehawken, NJ
- SEC file number:
- 801-7163
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 25, 2026
View full firm profileOther advisors at UBS Financial Services Inc.
Showing 12 of 9,380 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Franklin Xie has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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