Rishi Sirichand Oad

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2016 → 04/2022
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Greenwood Village, CO
• 06/2016 → 04/2022
  Bank Of America, N.A.
  Greenwood Village, CO
• 04/2022 → Present
  Ubs Financial Services Inc.
  Denver, CO

Previous Registrations

• 2016-06-30 → 2022-04-28
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Greenwood Village, CO
  Denver, CO

Other Businesses

I*10213 For profit or not for profit: Name of outside business organization: Rental Investment related: Address of business: Aurora, Colorado 80014 Nature of business: Position, title, association: Start date of relationship: 7/1/2020 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0

Exams

• S66 Uniform Combined State Law Examination
  2016-06-29

Other Names

• Rishi Oad