Richard Naville Rand

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2005-05-16
NC	RA	APPROVED	2004-08-30

TX RA
APPROVED

Since 2005-05-16
NC RA
APPROVED

Since 2004-08-30

Branch Locations

Statesville, NC • United States

317 W. Barbee Chapel Road, Chapel Hill, NC 27517 • United States

2200 W Main Street Suite 920, Durham, NC 27705 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Durham	NC	06/2004	Present
Train Financial Services	Atlanta	GA	02/2004	Present

06/2004 → Present

Ubs Financial Services Inc.

Durham, NC
02/2004 → Present

Train Financial Services

Atlanta, GA

Other Businesses

MY WIFE AND I INCORPORATED UNDER THE NAME TRAIN FINANCIAL SERVICES, LLC IN THE STATE OF GEORGIA EARLY IN 2004. IT IS MEANT TO BE A SMALL REAL ESTATE INVESTMENT COMPANY THAT IS RUN BY MY WIFE SINCE SHE IS NOW A STAY AT HOME MOM. TO DATE, WE HAVE NOT DONE ANY BUSINESS UNDER THIS COMPANY. IF WE DECIDE TO CONTINUE WITH THE CORPORATION, IT WILL BE MY WIFE WHO IS RUNNING THE BUSINESS. Richard Rand, Statesville NCUnited States-20677, Rental home Real Estate, Vacation home that will be periodically rented, Proprietor / owner, rent the house, start date-3/24/2025.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-08-27

S66 Uniform Combined State Law Examination

2004-08-27

Other Names

Richard Rand

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