Rick James Link

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2023-07-10
TX	RA	APPROVED	2009-01-29

CO RA
APPROVED

Since 2023-07-10
TX RA
APPROVED

Since 2009-01-29

Branch Locations

7250 Dallas Parkway Suite120, Plano, TX 75024 • United States

Denver, CO • United States

Plano, TX • United States

Denver, CO • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Plano	TX	01/2009	Present

01/2009 → Present

Ubs Financial Services Inc

Plano, TX

Previous Registrations

1984-03-08 → 2009-01-30

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Plano, TX

Frisco, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-08-17
S63	Uniform Securities Agent State Law Examination	1984-03-02

S65 Uniform Investment Adviser Law Examination

1995-08-17
S63 Uniform Securities Agent State Law Examination

1984-03-02

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

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