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William Richard Aulwes
CRD#: 2690522
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 2575 East Camelback Road
SUITE 900
PHOENIX, AZ 85016
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2023 - Present (1 year)BAMERICAN FUNDS DISTRIBUTORS, INC. (CRD# 6247)1996 - 2006 (10 years)
License(s)

State Registrations

B
Arizona 8/2/2023

B
New York 7/17/2023

B
California 7/3/2023

B
North Carolina 7/17/2023

IA
California 7/3/2023

B
Ohio 7/17/2023

B
Colorado 7/17/2023

B
Oregon 7/17/2023

B
Florida 4/24/2024

B
Pennsylvania 7/17/2023

B
Georgia 9/26/2024

B
South Dakota 10/31/2023

B
Idaho 7/17/2023

B
Tennessee 7/17/2023

B
Illinois 7/17/2023

B
Texas 7/17/2023

B
Indiana 7/17/2023

IA
Texas 7/17/2023

B
Massachusetts 7/17/2023

B
Utah 7/17/2023

B
Missouri 7/17/2023

B
Virginia 7/17/2023

B
Nevada 7/17/2023

B
Washington 7/17/2023

B
New Jersey 7/17/2023

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)
2575 East Camelback Road SUITE 900, PHOENIX, AZ 85016
Long Beach, CA
Registered with this firm since 7/3/2023

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
2575 East Camelback Road SUITE 900, PHOENIX, AZ 85016
Long Beach, CA
Registered with this firm since 5/22/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
B
09/23/1996 - 10/02/2006 AMERICAN FUNDS DISTRIBUTORS, INC. (CRD#:6247) BREA, CA
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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.