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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2023-03-06
CT RA APPROVED 2021-11-09
NY RA APPROVED 2021-10-26
TX RA APPROVED_RES 2014-07-14
  • CO RA
    APPROVED
    Since 2023-03-06
  • CT RA
    APPROVED
    Since 2021-11-09
  • NY RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2014-07-14

Branch Locations

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

Aspen, 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
OrganizationCityStateFromTo
Ubs Financial Services Inc New York NY 11/2008 Present
Other Businesses

Bigvision / 34 w 27th st 4th fl New York, NY 10001 / United States / bigvisionnyc.com / Foundation / Public Services / create a community for teens who want to live a sober life after rehab and recovery / Member of Board of directors / make big picture decisions and guide the direction of the org / Start Date 3/1/2016 / richard greenspan, 2nd home, ownerpay taxes and all the bills, start date-11/15/2020, aspenUnited States-81611.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-12-05
  • S63 Uniform Securities Agent State Law Examination
    1983-12-05
Other Names
  • Richard I Greenspan

View on SEC IAPD

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