Richard D. David Rogers

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-05-16
TX	RA	APPROVED_RES	2022-06-23
DE	RA	APPROVED	2021-10-25
PA	RA	APPROVED	2012-08-30

FL RA
APPROVED

Since 2024-05-16
TX RA
APPROVED_RES

Since 2022-06-23
DE RA
APPROVED

Since 2021-10-25
PA RA
APPROVED

Since 2012-08-30

Branch Locations

411 South State St., Newtown, PA 18940 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Newtown	PA	12/1993	Present

12/1993 → Present

Ubs Financial Services Inc.

Newtown, PA

Other Businesses

Bucks County Free Library / Doylestown United States,Pennsylvania http://buckslib.org/ / No/ Bucks County Commissioners oversee and govern free library system for county / No / Other / Bucks County Free Library Board / oversee and govern library system / Start Date 9/15/2016/ Appointed No / No

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-12-21
S63	Uniform Securities Agent State Law Examination	1985-11-12

S65 Uniform Investment Adviser Law Examination

1995-12-21
S63 Uniform Securities Agent State Law Examination

1985-11-12

Other Names

Richard David Rogers
Richard D. David Rogers

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews