Individual Firm
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MATTHEW SAM RICH
CRD#: 2155263
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 1801 13TH STREET
BOULDER, CO 80302
BOULDER, CO 80302
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7/15/2009
Customer Dispute
Settled
State Registrations
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Alabama 2/17/2011
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Montana 10/22/2012
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Alaska 9/14/2020
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Nebraska 9/17/2020
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Arizona 6/19/2009
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Nevada 10/31/2017
B
Arkansas 9/16/2020
B
New Hampshire 2/3/2011
B
California 6/19/2009
B
New Jersey 6/19/2009
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Colorado 6/19/2009
B
New Mexico 5/23/2019
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Colorado 6/22/2009
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New York 6/19/2009
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Connecticut 6/19/2009
B
North Carolina 6/19/2009
B
Delaware 5/24/2012
B
North Dakota 9/21/2020
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District of Columbia 9/22/2020
B
Ohio 6/19/2009
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Florida 6/19/2009
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Oklahoma 9/16/2020
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Florida 9/10/2021
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Oregon 2/1/2011
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Georgia 6/19/2009
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Pennsylvania 6/19/2009
B
Hawaii 9/8/2020
B
Puerto Rico 4/4/2017
B
Idaho 2/1/2011
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Rhode Island 6/19/2009
B
Illinois 1/28/2014
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South Carolina 12/16/2014
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Indiana 3/16/2012
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South Dakota 10/6/2017
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Iowa 1/31/2013
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Tennessee 2/9/2011
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Kansas 6/19/2009
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Texas 7/2/2009
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Kentucky 9/5/2018
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Texas 10/28/2010
B
Louisiana 9/16/2020
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Utah 4/28/2011
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Maine 9/17/2020
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Vermont 3/16/2017
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Maryland 10/29/2018
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Virginia 1/28/2011
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Massachusetts 6/19/2009
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Washington 9/1/2016
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Michigan 6/19/2009
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West Virginia 9/29/2020
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Minnesota 2/7/2017
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Wisconsin 6/19/2009
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Mississippi 2/4/2011
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Wyoming 2/1/2011
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Missouri 1/31/2017
SRO Registrations
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IA
Registered with this firm since 6/22/2009
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Registered with this firm since 6/19/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2004 - 07/13/2009 | SAN FRANCISCO, CA | |
B | 03/23/2004 - 07/13/2009 | SAN FRANCISCO, CA | |
IA | 04/28/2003 - 11/20/2003 | BOULDER, CO | |
B | 10/04/1996 - 01/01/1998 | NEW YORK, NY | |
B | 12/06/1991 - 09/24/1996 | NEW YORK, NY |
BOULDER, CO
04/28/2003 - 11/20/2003
NEW YORK, NY
10/04/1996 - 01/01/1998
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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