Richard James Childs

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2014-01-09

TX RA
APPROVED

Since 2014-01-09

Branch Locations

Sugar Land, TX • United States

15958 City Walk #240, Sugar Land, TX 77479 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Sugarland	TX	01/2014	Present

01/2014 → Present

Ubs Financial Services Inc.

Sugarland, TX

Previous Registrations

2009-06-01 → 2014-01-16

Morgan Stanley

Sugarland, TX

Sugar Land, TX
2006-02-21 → 2009-06-01

Citigroup Global Markets Inc.

Sugarland, TX

Houston, TX

New York, NY

Houston, TX
2002-12-18 → 2006-02-21

Legg Mason Wood Walker, Incorporated

Houston, TX
2000-09-27 → 2002-12-20

Prudential Equity Group, Llc

Houston, TX

Other Businesses

1) FINRA / ONE LIBERTY PLAZA NEW YORK,NEW YORK 100006 / NO/ NON PROFIT / USD / NO / NO / / 8/31/15 / 2)St Patrick's Catholic Church Galveston,United States,requesting approval to be on the church finance comitteeOtherReligeousOne of four individals who advise the Pastor regarding finances of the Church,Advisor or advisory group member if advice given may influence an officer/board,advise the pastor re church finances,Start Date -12/11/2025

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-12-13
S63	Uniform Securities Agent State Law Examination	1983-05-12

S65 Uniform Investment Adviser Law Examination

1993-12-13
S63 Uniform Securities Agent State Law Examination

1983-05-12

Other Names

Rick Childs

View on SEC IAPD