Shelley D Rickman

Ubs Financial Services Inc.

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Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2019-02-22

TX RA
APPROVED

Since 2019-02-22

Branch Locations

760 Sw 9Th Ave Suite 2450, Portland, OR 97205 • United States

805 Sw Broadway Suite 2600, Portland, OR 97205 • United States

Portland, OR • 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.	Portland	OR	11/2001	Present

11/2001 → Present

Ubs Financial Services Inc.

Portland, OR

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-03-21

S66 Uniform Combined State Law Examination

2001-03-21

Designations

Other Names

Shelley Diane Bowman
Shelley Diane Ray

View on SEC IAPD

Other Firms

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

SUCCESS WEALTH MANAGEMENT LLC

INMAN FINANCIAL SERVICES, INC.

PINNACLE WEALTH ADVISORS

OSAIC WEALTH, INC.

MERCER GLOBAL ADVISORS INC.

LPL FINANCIAL LLC

CETERA INVESTMENT ADVISERS LLC

Other Investors

ALEX JOHN SHEPPARD

DANIEL JOSEPH HECK

JACQUELYN MARIE PASCIAK

STEVEN MICHAEL FAIN

BRANDON LEE ERICKSON

DAVID KENT PEDERSON

Other Offices

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · PORTLAND, OR

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Portland, OR

SUCCESS WEALTH MANAGEMENT LLC · Portland, OR

INMAN FINANCIAL SERVICES, INC. · PORTLAND, OR

PINNACLE WEALTH ADVISORS · Portland, OR

OSAIC WEALTH, INC. · TIGARD, OR

MERCER GLOBAL ADVISORS INC. · Tigard, OR

MERCER GLOBAL ADVISORS INC. · Tigard, OR

More in Portland, OR

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