Richard Alan Abrams

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-11-03
FL	RA	APPROVED	2023-08-25
NY	RA	APPROVED	2021-10-26
TX	RA	APPROVED_RES	2009-02-02
CT	RA	APPROVED	2009-01-15

CA RA
APPROVED

Since 2023-11-03
FL RA
APPROVED

Since 2023-08-25
NY RA
APPROVED

Since 2021-10-26
TX RA
APPROVED_RES

Since 2009-02-02
CT RA
APPROVED

Since 2009-01-15

Branch Locations

Delray Beach, FL • United States

299 Park Avenue 8Th, 9Th, & 11Th Floors, New York, NY 10171 • United States

Westport, CT • United States

Delray Beach, FL • 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.	New York	NY	06/1992	Present

06/1992 → Present

Ubs Financial Services Inc.

New York, NY

Other Businesses

1) M. INS TRUST / INSURANCE TRUST / THE FAMILY ARE CLIENTS OF MINE / TRUSTEE / I AM TRUSTEE OF A FAMILY TRUST / START DATE 05/15/2003. 2) P. M. IRREV TRUST / IRREVOCABLE FAMILY TRUST / THE FAMILY ARE CLIENTS OF MINE / TRUSTEE / I AM TRUSTEE OF A FAMILY TRUST / START DATE 05/15/2003. 3) M. L. M. TRUST / IRREVOCABLE FAMILY TRUST / THE FAMILY ARE CLIENTS OF MINE / TRUSTEE / I AM TRUSTEE OF A FAMILY TRUST / START DATE 05/15/2003. 4) J. S. M. INSURANCE TRUST /TRUSTEE FOR INSURANCE TRUST /START DATE 05/06/2005. 5) M. Insurance Trust / Glen RockNew JerseyUnited States07452 / Pay insurance premiums / Paying the premiums / Start Date: 6/14/1996 6) The Estate of A. K., Stratford Ct United States-06614, I am executor of the estate of A. K., start date-8/26/2024

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-09-20
S63	Uniform Securities Agent State Law Examination	1983-04-05

S65 Uniform Investment Adviser Law Examination

1995-09-20
S63 Uniform Securities Agent State Law Examination

1983-04-05