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Jacob Michael Richmond

Ubs Financial Services Inc.

Chicago, IL

Weehawken, NJ

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-08-02
  • IL RA
    APPROVED
    Since 2022-08-02

Branch Locations

One North Wacker Drive, Chicago, IL 60606 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chicago IL 11/2017 07/2022
Unemployed Oswego IL 09/2017 11/2017
Adtalem Global Education Group Naperville IL 09/2013 09/2017
Ubs Financial Services Chicago IL 08/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-16
  • S66 Uniform Combined State Law Examination
    2018-02-16
Other Names
  • Jake Michael Richmond
  • Jacob Richmond
  • Jacob Michael Richmond
  • Jacob M Richmond

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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