• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
WALTER ALBRA RICKER III
WALT RICKER, WALTER ALBRA RICKER
CRD#: 3026305
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 601 W. RIVERSIDE AVENUE
SPOKANE, WA 99201
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - Present (18 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1998 - 2000 (2 years)
License(s)

State Registrations

B
Alabama 11/2/2023

B
New Hampshire 8/15/2017

B
Alaska 4/13/2015

B
New York 9/7/2011

B
Arizona 6/26/2012

B
North Carolina 5/14/2010

B
California 4/9/2007

B
North Dakota 3/27/2024

B
Colorado 2/24/2015

B
Oklahoma 9/24/2024

B
District of Columbia 11/2/2023

B
Oregon 1/18/2007

B
Florida 1/18/2007

B
South Carolina 1/13/2016

B
Idaho 1/18/2007

IA
Texas 10/10/2012

IA
Idaho 10/22/2021

B
Texas 6/20/2016

B
Illinois 11/2/2023

B
Utah 11/2/2023

B
Iowa 11/2/2023

B
Virginia 11/2/2023

B
Maine 11/2/2023

B
Washington 12/8/2006

B
Michigan 11/2/2023

IA
Washington 12/8/2006

B
Montana 1/18/2007

B
West Virginia 5/17/2021

B
Nevada 4/22/2015

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

View Exams Passed by the individual in the detailed report

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)
601 W. RIVERSIDE AVENUE, SPOKANE, WA 99201
Registered with this firm since 12/8/2006

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
601 W. RIVERSIDE AVENUE, SPOKANE, WA 99201
Registered with this firm since 11/23/2006

Previous Registration(s)
th hidden textth hidden textNameLocation
B
04/29/1998 - 09/29/2000 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
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.