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Ricke L Cocke

Ubs Financial Services Inc.

Weston, OH

Sylvania, OH

Buyck, MN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2015-06-17
TX RA APPROVED_RES 2005-02-01
OH RA APPROVED 1999-08-18
  • MN RA
    APPROVED
    Since 2015-06-17
  • TX RA
    APPROVED_RES
    Since 2005-02-01
  • OH RA
    APPROVED
    Since 1999-08-18

Branch Locations

Weston, OH • United States

5757 Monroe Street, Sylvania, OH 43560 • United States

Buyck, MN • 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. Sylvania OH 12/1983 Present
Other Businesses

RAISE AND SELL CATTLE/ HOME ADDRESS WESTON, OH 43569 / OWNER/ START DATE 1/1/1983 - / 5 HOURS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-06-17
S63 Uniform Securities Agent State Law Examination 1985-12-04
  • S65 Uniform Investment Adviser Law Examination
    2015-06-17
  • S63 Uniform Securities Agent State Law Examination
    1985-12-04
Other Names
  • Rick Cocke
  • Rickie Cocke
  • Rickie Lee Cocke
  • Richie Lee Cocke
  • Ricke L Coche

View on SEC IAPD

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