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Laurisa Ann Richter

Ubs Financial Services Inc.

Omaha, NE

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2009-01-30
  • NE RA
    APPROVED
    Since 2009-01-30

Branch Locations

13815 Fnb Parkway Suite 300, Omaha, NE 68154-5220 • 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 Omaha NE 01/2009 Present
Previous Registrations
  • 2007-12-05 → 2009-01-13
    Smith Hayes Advisers Inc
    Lincoln, NE
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-12-04
S63 Uniform Securities Agent State Law Examination 2001-11-19
  • S65 Uniform Investment Adviser Law Examination
    2007-12-04
  • S63 Uniform Securities Agent State Law Examination
    2001-11-19
Other Names
  • Laurisa Parker
  • Laurisa Ann Parker
  • Laurisa Hodges
  • Laurisa Ann Hodges
  • Laurisa Ann Parker

View on SEC IAPD

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Other Offices

EQUITABLE ADVISORS, LLC · OMAHA, NE
EQUITABLE ADVISORS, LLC · OMAHA, NE
MML INVESTORS SERVICES, LLC · Omaha, NE
AMERIPRISE FINANCIAL SERVICES, LLC · OMAHA, NE
CETERA INVESTMENT ADVISERS LLC · OMAHA, NE
LPL ENTERPRISE, LLC · OMAHA, NE
PFS INVESTMENTS INC. · OMAHA, NE
PFS INVESTMENTS INC. · Omaha, NE

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