Richard Edward Ristau

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2002-04-24
IL	RA	APPROVED	2001-10-05

TX RA
APPROVED_RES

Since 2002-04-24
IL RA
APPROVED

Since 2001-10-05

Branch Locations

Western Springs, IL • United States

1 North Wacker Drive 32Nd & 33Rd, Chicago, IL 60606 • United States

1 Tower Lane-Ste 1700 Oakbrook Terrace Tower, Oakbrook Terrace, IL 60181 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Chicago	IL	06/2001	Present

06/2001 → Present

Ubs Financial Services Inc.

Chicago, IL

Other Businesses

NAME OF OTHER BUSINESS:Home 2 Home Project/ INVESTMENT RELATED?:N / ADDRESS: 6119 East Ave, Hodgkins, IL/ NATURE OF THE BUSINESS: Furnish homes for families moving out of shelters/ POSITION:Member of Board of directors / DUTIES: Acting President of BOD/ START DATE: 1/1/2023 / HOURS DEVOTED TO BUSINESS: NA Fenwick High School,Help coach football team at high school,,ILUnited States,Help coach, Start date 6/7/2024

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-08-23

S66 Uniform Combined State Law Examination

2001-08-23

Other Names

Rich Ristau
Richard Rastau

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