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Richard Joseph Mettman

Ubs Financial Services Inc.

Cincinnati, OH

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2007-02-28
OH RA APPROVED 2007-02-09
  • TX RA
    APPROVED_RES
    Since 2007-02-28
  • OH RA
    APPROVED
    Since 2007-02-09

Branch Locations

8044 Montgomery Road, Ste. 10 The Towers At Kenwood, Cincinnati, OH 45236 • 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. Cincinnati OH 02/2007 Present
Previous Registrations
  • 1999-10-18 → 2007-02-09
    Keybanc Capital Markets Inc.
    Cincinnati, OH
    Cincinnati, OH
Other Businesses

MGTrio, LLC/ investment related?: yes/ 6500 Traverse Bay Rd., 102, Williamsburg, MI, 49690 US/ Ideas and suggestions/ start date: 9/7/2021

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-03-27
S63 Uniform Securities Agent State Law Examination 1983-06-10
  • S65 Uniform Investment Adviser Law Examination
    1997-03-27
  • S63 Uniform Securities Agent State Law Examination
    1983-06-10

View on SEC IAPD

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Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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