Haselkorn & Thibaut, a nationally recognized investment fraud law firm, has initiated an investigation into Siobhan Brady (CRD# 5151594), a financial advisor based in Purchase, NY, and currently affiliated with UBS Financial Services Inc.. If you have worked with Siobhan Brady or have questions about your investments, read on for an in-depth research report—and consider taking advantage of a free consultation with Haselkorn & Thibaut (1-888-885-7162).
Comprehensive Overview of Siobhan Brady – UBS Financial Services, Purchase, NY
Table of Contents
Siobhan Brady stands out as a seasoned financial advisor, bringing 17 years of industry experience and an extensive licensing portfolio covering 47 states. Since 2008, she has maintained stable employment at UBS Financial Services Inc., reinforcing her presence in the investment sector.
Advisor Profile: Professional Background and Credentials
| Name: | Siobhan Brady |
| CRD Number: | 5151594 |
| Current Firm: | UBS Financial Services Inc. (CRD #8174) |
| Location: | 3 Manhattanville Road, Suite 210, Purchase, NY 10577 |
| Years of Experience: | 17 years |
| State Licenses: | 47 States |
| FINRA Registrations: | Active |
Brady’s impressive credentials include over a decade with UBS, difficult-to-obtain licenses in dozens of states, and active registrations with national regulatory organizations. This robust foundation gives her clients access to a broad range of investment products and services.
Employment History at Major Broker-Dealers
- UBS Financial Services Inc. (Purchase, NY): September 2008 – Present
Roles: Registered Broker (since 2008); Investment Adviser (since 2021) - Merrill Lynch, Pierce, Fenner & Smith Incorporated (White Plains, NY): April 2008 – September 2008
Roles: Investment Adviser (brief tenure pre-dating UBS)
Siobhan Brady’s career reflects stability and commitment—critical factors that investors often look for when selecting an advisor.
Licensing and Regulatory Registration: Breadth of Authority
Currently, Brady holds active investment advisory and brokerage licenses in 47 states. She is registered with several self-regulatory organizations, including:
- FINRA
- New York Stock Exchange
- Nasdaq (various exchanges)
- Cboe Exchange
- Others
This breadth of regulatory registration indicates authority to serve a wide range of clients and manage diverse product portfolios nationwide.
Disclosure Review: Understanding the Customer Complaint
A critical part of any advisor review is a thorough look at the regulatory disclosure history. As of January 26, 2026, one settled customer dispute appears on Siobhan Brady’s record. Details of this complaint are essential for any investor evaluating her conduct and suitability as an advisor.
| Date Reported: | November 1, 2024 |
| Type: | Customer Dispute (Settled) |
| Status: | Settled |
| Allegations: | From 2008 to 2022, claimants allege an account used to collateralize a line of credit was unsuitably allocated in equities, and the broader investment strategy was not in their “Best Interest.” |
| Damage Amount Requested: | $1,000,000.00 |
| Settlement Amount: | $50,000.00 |
Although the damage amount originally claimed was $1,000,000, the matter was settled for $50,000—representing just 5% of the requested sum. The specifics of the allegations centered on suitability and strategy: whether risky equity investments should have been used as collateral for a line of credit, and if the investment strategy fit the client’s best interest at the time.
Why does this matter? While settlements are not admissions of wrongdoing, such disclosures warrant careful consideration by prospective and existing clients. The low settlement amount in relation to the claimed damages often signals a compromise, either to resolve a disputed claim efficiently or because the advisor’s defense was strong. Still, this record should be a factor in investor due diligence.
Are There Red Flags for Investors?
Most notably, Brady’s record lists just one customer complaint, which was settled; there are no regulatory actions, no barrings, and no additional customer disputes reported as of 2026. Here’s a summary of key issues for investors to keep in mind:
- Length of Experience: A 17-year track record, mostly at UBS.
- Licensing: 47 states and multiple exchanges—very broad.
- Disclosure History: One resolved complaint, specific to suitability concerns over a long time frame.
- No Regulatory Actions: No barrings or disciplinary proceedings on record.
The presence of a settled complaint does not automatically mean investors should avoid the advisor, but it does mean you should ask questions about suitability, risk, and how investment strategies will match your own financial goals.
How Can You Protect Your Investments?
Transparency is key. If you have questions about your investments handled by Siobhan Brady, especially about suitability or strategy, you can review her record at FINRA BrokerCheck.
Haselkorn & Thibaut’s investigation aims to help investors determine if losses were due to unsuitable investment advice or other concerns. With over 50 years of collective experience, a 98% success rate, and millions recovered for clients, the firm offers a “No recovery, no fee” promise to put your mind at ease.
What Should You Do Next?
If you are a current or former client of Siobhan Brady at UBS Financial Services Inc. in Purchase, NY, and have concerns about your investments, or if you simply want an independent review of your portfolio, don’t wait. The process is confidential, and you pay nothing unless money is recovered on your behalf.
Contact Haselkorn & Thibaut for a risk-free, no-obligation consultation regarding your investments with Siobhan Brady or other advisors at UBS Financial Services.
Protect your financial future—get peace of mind by making informed decisions, and take advantage of expert legal guidance provided by industry leaders.
