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Richard Paul Giordano

Ubs Financial Services Inc.

Weehawken, NJ

Greenwich, CT

CRD 1006237

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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:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2021-11-09
NY RA APPROVED 2021-10-26
TX RA APPROVED_RES 2009-04-02
  • CT RA
    APPROVED
    Since 2021-11-09
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2009-04-02

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

100 West Putnam Avenue 2Nd Floor, Greenwich, CT 06830 • 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. New York NY 02/1989 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1982-05-18
  • S63 Uniform Securities Agent State Law Examination
    1982-05-18

View on SEC IAPD

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