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Richard Paul Williams

Ubs Financial Services Inc.

Fort Myers, 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 2012-05-08
TX RA APPROVED 2012-05-07
  • FL RA
    APPROVED
    Since 2012-05-08
  • TX RA
    APPROVED
    Since 2012-05-07

Branch Locations

12800 University Drive Suite 500, Fort Myers, FL 33907 • 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. Fort Myers FL 05/2012 Present
Previous Registrations
  • 2009-06-01 → 2012-05-16
    Morgan Stanley
    Fort Myers, FL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Ft. Myers, FL
  • 1991-01-01 → 2007-04-02
    Morgan Stanley Dw Inc.
    Ft. Myers, FL
    Ft. Myers, FL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-08-03
  • S63 Uniform Securities Agent State Law Examination
    1984-08-03

View on SEC IAPD

Other Firms

STIFEL, NICOLAUS & COMPANY, INCORPORATED
AMERIPRISE FINANCIAL SERVICES, LLC
BANKERS LIFE ADVISORY SERVICES, INC.
LPL FINANCIAL LLC
SANCTUARY ADVISORS, LLC
TRUIST ADVISORY SERVICES, INC.
CHARLES SCHWAB & CO., INC.
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Other Investors

DAVID JONATHAN MORELAND
Elizabeth Diane Scoggins
Devin Reich
WILLIAM CARR WHITE
JACQUELINE ANNETTE WEBSTER
SCOTT MICHAEL KLEIN
JEFFREY STUART MALAVSKY
WILLIAM HERBERT WHITE

Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · FORT MYERS, FL
AMERIPRISE FINANCIAL SERVICES, LLC · Fort Myers, FL
BANKERS LIFE ADVISORY SERVICES, INC. · Fort Myers, FL
LPL FINANCIAL LLC · FORT MYERS, FL
SANCTUARY ADVISORS, LLC · FORT MYERS, FL
SANCTUARY ADVISORS, LLC · FORT MYERS, FL
TRUIST ADVISORY SERVICES, INC. · FORT MYERS, FL
TRUIST ADVISORY SERVICES, INC. · FORT MYERS, FL

More in Fort Myers, FL

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