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Gregory Charles Charles Richardson

Ubs Financial Services Inc.

Sioux Falls, SD

Sioux Falls, SD

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
SD RA APPROVED 2016-11-18
CO RA APPROVED 2015-09-24
TX RA APPROVED_RES 2015-09-23
  • SD RA
    APPROVED
    Since 2016-11-18
  • CO RA
    APPROVED
    Since 2015-09-24
  • TX RA
    APPROVED_RES
    Since 2015-09-23

Branch Locations

Sioux Falls, SD • United States

6225 South Pinnacle Place Suite 201, Sioux Falls, SD 57108 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Denver CO 09/2015 Present
Previous Registrations
Other Businesses

I*24465 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: DOWNTOWN DENVER LOFT INVESTMENT RELATED: N ADDRESS OF BUSINESS: 1617 CALIFORNIA STREET #2D, DENVER, COLORADO 80202 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, COMPENSATION FOR ACTIVITY: Y POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 12:00:00 AM NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL LOFT PROPERTY WE COLLECT RENT ON I*24466 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: LYNETTE RICHARDSON TOWNHOMES INVESTMENT RELATED: N ADDRESS OF BUSINESS: 4108 W NEWCOMB DRIVE, SIOUX FALLS, SOUTH DAKOTA 57104 NATURE OF BUSINESS: SOLE PROPRIETORSHIP, COMPENSATION FOR ACTIVITY: Y 28 Coyote Circle, renting out our family mountain cabin, Proprietor / owner, no duties, just owner of property, start date-12/17/2018, AvonCOUnited States81620. POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 4/20/2000 NUMBER OF HOURS DEVOTED: 1 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: TOWNHOMES THAT ARE RENTAL PROPERTY

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-06-20
S63 Uniform Securities Agent State Law Examination 1993-02-18
  • S65 Uniform Investment Adviser Law Examination
    2000-06-20
  • S63 Uniform Securities Agent State Law Examination
    1993-02-18
Other Names
  • Greg Charles Richardson
  • Greg Richardson
  • Gregory Charles Richardson

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