Richard Keith Schneider

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:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2002-09-19

TX RA
APPROVED_RES

Since 2002-09-19

Branch Locations

8501 N Scottsdale Road Suite 100, Scottsdale, AZ 85253 • United States

2575 East Camelback Road Suite 900, Phoenix, AZ 85016 • United States

14624 N. Scottsdale Rd Suite 300, Scottsdale, AZ 85254 • 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.	Scottsdale	AZ	06/2006	Present

06/2006 → Present

Ubs Financial Services Inc.

Scottsdale, AZ

Other Businesses

Estate of Alexander Dube / 200 w 54st new york,ny 10019 / Other/ Other individual / individual / Other / Co-Executor / asset liquidation and distributation / Start Date Estate 5/19/16 / unsure

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-02-19
S63	Uniform Securities Agent State Law Examination	1985-11-13

S65 Uniform Investment Adviser Law Examination

1992-02-19
S63 Uniform Securities Agent State Law Examination

1985-11-13

View on SEC IAPD