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Adam Gregory Rivera

Ubs Financial Services Inc.

New York, NY

Westfield, NJ

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2022-12-22
PA RA APPROVED 2022-12-22
NY RA APPROVED 2021-10-26
TX RA APPROVED 2013-04-29
NJ RA APPROVED 2013-04-17
  • ME RA
    APPROVED
    Since 2022-12-22
  • PA RA
    APPROVED
    Since 2022-12-22
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED
    Since 2013-04-29
  • NJ RA
    APPROVED
    Since 2013-04-17

Branch Locations

299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • United States

Westfield, NJ • 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
OrganizationCityStateFromTo
Ubs Financial Services, Inc. New York NY 03/2013 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-04-16
S63 Uniform Securities Agent State Law Examination 2011-11-14
  • S66 Uniform Combined State Law Examination
    2013-04-16
  • S63 Uniform Securities Agent State Law Examination
    2011-11-14
Other Names
  • Adam Rivera

View on SEC IAPD

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KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
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