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Thomas Christopher Richter
CRD#: 6842013
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 CRESCENT COURT
SUITE 400
DALLAS, TX 75201
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - Present (7 years)
License(s)

State Registrations

B
Arizona 5/2/2023

B
New Jersey 5/2/2023

B
California 5/2/2023

B
New Mexico 2/12/2025

B
Colorado 5/2/2023

B
New York 5/2/2023

B
Connecticut 2/12/2025

B
North Carolina 5/2/2023

B
Delaware 2/12/2025

B
Ohio 5/2/2023

B
District of Columbia 2/12/2025

B
Oklahoma 5/2/2023

B
Florida 5/2/2023

B
Oregon 2/12/2025

B
Georgia 5/2/2023

B
Pennsylvania 5/2/2023

B
Illinois 2/12/2025

IA
Pennsylvania 5/9/2024

B
Indiana 2/12/2025

B
Rhode Island 2/12/2025

B
Kentucky 2/12/2025

B
South Carolina 2/12/2025

B
Louisiana 5/2/2023

B
Texas 11/15/2017

B
Maine 2/12/2025

IA
Texas 11/15/2017

B
Massachusetts 5/2/2023

B
Virginia 5/2/2023

B
Michigan 2/12/2025

B
Wyoming 5/2/2023

B
Montana 2/12/2025

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)
100 CRESCENT COURT SUITE 400, DALLAS, TX 75201
San Antonio, TX
Registered with this firm since 11/15/2017

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 CRESCENT COURT SUITE 400, DALLAS, TX 75201
San Antonio, TX
Registered with this firm since 10/21/2017

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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.