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James A Richards

Ubs Financial Services Inc.

Mclean, VA

Bradenton, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-12-05
VA RA APPROVED 2019-09-05
  • FL RA
    APPROVED
    Since 2023-12-05
  • VA RA
    APPROVED
    Since 2019-09-05

Branch Locations

1800 Tysons Blvd 5Th Floor, Suite 550, Mclean, VA 22102 • United States

Bradenton, FL • 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
Morgan Stanley Smith Barney Potomac MD 07/2015 08/2019
Ubs Financial Services Inc. Mclean VA 09/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-08
S63 Uniform Securities Agent State Law Examination 2009-12-18
  • S66 Uniform Combined State Law Examination
    2014-08-08
  • S63 Uniform Securities Agent State Law Examination
    2009-12-18
Other Names
  • James Anthony Richards
  • James A Richards
  • James Richards

View on SEC IAPD

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