Richard James Rohr

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2015-09-03
CT	RA	APPROVED	2007-11-09
TX	RA	APPROVED_RES	2007-11-09

CO RA
APPROVED

Since 2015-09-03
CT RA
APPROVED

Since 2007-11-09
TX RA
APPROVED_RES

Since 2007-11-09

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Breckenridge, CO • 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	Stamford	CT	11/2007	Present

11/2007 → Present

Ubs Financial Services Inc

Stamford, CT

Previous Registrations

2007-04-02 → 2007-11-14

Morgan Stanley & Co. Llc

Fairfield, CT
1991-09-20 → 2007-04-02

Morgan Stanley Dw Inc.

Fairfield, CT

Greenwich, CT

Darien, CT

Fairfield, CT

Other Businesses

Clementine Lockwood Peterson Foundation / To support the Greenwich Library of Greenwich, Connecticut, giving preference to the Business Section and the Recorded Music Department of the Library. / P. O. Box 120 / Stamford/ Fairfield County / Connecticut / United States / 06904-0120 / none / Assist my two fellow trustees in the oversight of the foundation's investment portfolio. The sole source of investment management advice is delivered by the Stifel Wealth Management Group. / No Active / USD / 45000 / / No / No

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-12-23
S63	Uniform Securities Agent State Law Examination	1987-05-28

S65 Uniform Investment Adviser Law Examination

1993-12-23
S63 Uniform Securities Agent State Law Examination

1987-05-28

Other Names

Rick Rohr

View on SEC IAPD