Richard G. Berardo

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2008 → Present
  Ubs Financial Services Inc
  Orlando, FL

Previous Registrations

• 2003-05-16 → 2008-08-19
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Heathrow, FL
  Lake Mary, FL
• 1996-07-24 → 2003-06-06
  Prudential Equity Group, Llc
  Orlando, FL

Other Businesses

JULIANNE THOMSON, 1266 OADFORD PLACE, OVIEDO, FLORIDA 32765 FINANCIAL MATTERS FOR MY SISTER JULIANNE THOMPSON. 8/25/08 GUARDIAN AND TRUSTEE FOR MY SISTER. 10 HOURS PER MONTHS. NAME OF OTHER BUSINESS: Vincenza Riley / INVESTMENT RELATED?N/ ADDRESS: 5141 Fiorella Lane, Florida / NATURE OF THE BUSINESS: I have been made personal representative in my mother in laws will - Vincenza Riley - she is still alive / POSITION:/ DUTIES: Personal Representative for my moth in laws estate when she passes away / START DATE: 11/24/22/ HOURS DEVOTED TO BUSINESS: NA

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-11-08
• S63 Uniform Securities Agent State Law Examination
  1990-02-14

Other Names

• Rick Berardo
• Richard Guy Berardo