Spencer D Barry
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.
Spencer D. Barry is an investment adviser representative with UBS Financial Services Inc. in Hartford, CT, where they have been registered since 2025. They have worked in the securities industry since 2025 and were previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Connecticut, New Jersey, and New York.
Office
Advisors at this office: 65
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Connecticut, New Jersey, New York
- Broker:
53 states and territories
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, Wyoming
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.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 2024 – Dec 2025Newington, CT
- The WoodlandJun 2018 – Aug 2020Lakeville, CT
- Labonnes MarketsJul 2016 – Jan 2022Salisbury, CT
- Harvest Ventures LLC DBA The WoodlandNov 2022 – no end date reportedLakeville, CT
- Valley hospitality GroupJun 2023 – Oct 2023Millbrook, NY
- Sharon Board of EducationMar 2021 – Mar 2021Sharon, CT
- University Of ConnecticutAug 2020 – Aug 2023Storrs, CT
- Northwestern Connecticut Community CollegeAug 2018 – May 2020Winstead, CT
- Bank of America, N.A.Jan 2025 – Dec 2025Newington, CT
- UBS Financial Services Inc.Dec 2025 – no end date reportedHartford, CT
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. Spencer D Barry 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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