Best Investors Account Sign in

Richard J Morrow

Ubs Financial Services Inc.

Garden City, NY

Norfolk, VA

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-11-14
NJ RA APPROVED 2024-10-23
TX RA APPROVED 2024-10-22
VA RA APPROVED 2024-10-22
  • NY RA
    APPROVED
    Since 2024-11-14
  • NJ RA
    APPROVED
    Since 2024-10-23
  • TX RA
    APPROVED
    Since 2024-10-22
  • VA RA
    APPROVED
    Since 2024-10-22

Branch Locations

1055 Franklin Avenue Suite 300, Garden City, NY 11530 • United States

Wells Fargo Center/ 440 Monticello Avenue Suite 2000, Norfolk, VA 23510 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Forest Hills NY 06/1994 10/2024
Bank Of America, N.A. Virginia Beach VA 07/2011 10/2024
Ubs Financial Services Inc. Garden City NY 10/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-05
S63 Uniform Securities Agent State Law Examination 1994-09-20
  • S65 Uniform Investment Adviser Law Examination
    1994-10-05
  • S63 Uniform Securities Agent State Law Examination
    1994-09-20
Other Names
  • Richard J Morrow
  • Richard James Morrow

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
ARKADIOS WEALTH ADVISORS
CETERA INVESTMENT ADVISERS LLC
BRIXTON CAPITAL WEALTH ADVISORS, LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
OSAIC WEALTH, INC.
COMMONWEALTH FINANCIAL NETWORK
LESLIE MARIE GIORDANO

Other Investors

TIMOTHY J TASSO
DAWN MARIE EGGERS
DAVID BRIAN CARPENTIER
Alexander Oliner
JULIA BATTAGLIA
Sei il im
ELLEN M CHAN
Jesse M Silver

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
ARKADIOS WEALTH ADVISORS · Garden City, NY
CETERA INVESTMENT ADVISERS LLC · Garden City, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
CETERA INVESTMENT ADVISERS LLC · GARDEN CITY, NY
BRIXTON CAPITAL WEALTH ADVISORS, LLC · GARDEN CITY, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Garden City, NY
OSAIC WEALTH, INC. · GARDEN CITY, NY

More in Garden City, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor