Richard John Zorena

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2009 → Present
  Ubs Financial Services Inc
  New Haven, CT

Previous Registrations

• 2007-03-22 → 2009-05-21
  Citigroup Global Markets Inc.
  New Haven, CT
  New Haven, CT
  New York, NY
  New Haven, CT

Other Businesses

1)ORANGE CHAMBER BD OF DIRECTORS / 637 ORANGE CENTER RD ORANGE CT 06477 / ASSOCIATION (I.E., TRADE OR INDUSTRY, SPORT...) / CHARITIES, CULTURAL, EDUCATIONAL & POLITICAL ORGANISATIONS / PROMOTE BUSINESS WITHIN ORANGE / MEMBER OF BOARD OF DIRECTORS / MAKING DECISIONS TO PROMOTE BUSINESS IN ORANGE / START DATE 02/02/2012. 2) Rotary Club of Orange/ADDRESS: Orange Rotary PO Box 894 Orange CT/NATURE OF BUSINESS: charity/POSITION: Member of Board of directors/DUTIES:go to board meetings and vote on club issues/START DATE: 4/1/2023/HOURS DEVOTED:No

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-03-19
• S63 Uniform Securities Agent State Law Examination
  1986-08-18