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Richard Hayes Pipes

Ubs Financial Services Inc.

Baton Rouge, LA

Baton Rouge, LA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MT RA APPROVED 2023-03-03
LA RA APPROVED 2015-12-07
TX RA APPROVED_RES 2009-03-06
MS RA APPROVED 2009-02-20
  • MT RA
    APPROVED
    Since 2023-03-03
  • LA RA
    APPROVED
    Since 2015-12-07
  • TX RA
    APPROVED_RES
    Since 2009-03-06
  • MS RA
    APPROVED
    Since 2009-02-20

Branch Locations

7150 Jefferson Highway, Baton Rouge, LA 70806 • United States

Baton Rouge, LA • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Baton Rouge LA 02/2009 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-08-29
S65 Uniform Investment Adviser Law Examination 1996-08-29
  • S63 Uniform Securities Agent State Law Examination
    1996-08-29
  • S65 Uniform Investment Adviser Law Examination
    1996-08-29
Other Names
  • Richard H (Jr) Pipes

View on SEC IAPD

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