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Ricardo Mendez Gutierrez
Ricardo Gutierrez Mendez, Ricardo Mendez
CRD#: 7025409
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 4400 Post Oak Parkway
Suite 1800
HOUSTON, TX 77027
Registration History
201820192020202120222023202420252026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2019 - Present (5 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2018 - Present (6 years)
License(s)

State Registrations

B
Arizona 2/5/2021

B
New York 4/11/2019

B
California 4/11/2019

IA
New York 4/4/2024

B
Colorado 4/8/2020

B
Pennsylvania 10/2/2020

B
Connecticut 4/11/2019

B
South Dakota 4/11/2019

B
Delaware 4/11/2019

B
Texas 4/11/2019

B
Florida 3/8/2019

IA
Texas 8/12/2019

IA
Florida 4/2/2019

B
Wyoming 5/7/2019

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)
4400 Post Oak Parkway Suite 1800, HOUSTON, TX 77027
100 SE 2ND STREET 27TH FLOOR, MIAMI, FL 33131
Registered with this firm since 4/2/2019

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
4400 Post Oak Parkway Suite 1800, HOUSTON, TX 77027
100 SE 2ND STREET 27TH FLOOR, MIAMI, FL 33131
Registered with this firm since 11/26/2018

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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.