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RICHARD VICTOR UVA
CRD#: 1164541
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE POST OFFICE SQUARE
BOSTON, MA 02109
Registration History
1985199019952000200520102015202020252 FIRMS2022 - Present (3 years)BUBS SECURITIES LLC (CRD# 7654)1998 - 2008 (10 years)BSBC WARBURG DILLON READ INC. (CRD# 1650)1997 - 1998 (<1 year)BSBC WARBURG, INC. (CRD# 23745)1995 - 1997 (2 years)BSBCI SWISS BANK CORPORATION IN... (CRD# 4341)1990 - 1995 (4 years)BWALSH, GREENWOOD & CO. (CRD# 8068)1983 - 1988 (4 years)
License(s)

State Registrations

B
California 12/12/2024

B
Massachusetts 2/23/2022

B
Connecticut 1/28/2022

B
New Hampshire 12/12/2024

IA
Connecticut 2/23/2022

B
New Jersey 12/12/2024

B
Illinois 12/12/2024

B
Oregon 12/12/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE POST OFFICE SQUARE, BOSTON, MA 02109
Registered with this firm since 2/23/2022

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE POST OFFICE SQUARE, BOSTON, MA 02109
Registered with this firm since 1/22/2022

Previous Registration(s)
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06/29/1998 - 12/11/2008 UBS SECURITIES LLC (CRD#:7654) STAMFORD, CT
B
09/02/1997 - 06/29/1998 SBC WARBURG DILLON READ INC. (CRD#:1650) STAMFORD, CT
B
01/03/1995 - 09/02/1997 SBC WARBURG, INC. (CRD#:23745) NEW YORK, NY
B
09/19/1990 - 01/03/1995 SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC. (CRD#:4341) NEW YORK, NY
B
10/13/1983 - 02/17/1988 WALSH, GREENWOOD & CO. (CRD#:8068)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.