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RICHARD ROQUE GAMBOA
CRD#: 716422
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 355 Santana Row
Suite 2050
SAN JOSE, CA 95128
Registration History
19801985199019952000200520102015202020252 FIRMS2008 - Present (17 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2008 (14 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1980 - 1988 (7 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2008 (10 years)
Disclosure(s)
View By:
3/28/2002
Customer Dispute
Denied
6/26/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/13/2009

B
Nebraska 4/11/2024

B
California 2/1/2008

B
Nevada 1/11/2019

IA
California 2/1/2008

B
New Jersey 1/11/2019

B
Colorado 2/1/2008

B
New Mexico 2/1/2008

B
Connecticut 3/28/2024

B
New York 10/23/2017

B
Delaware 12/10/2020

B
North Carolina 4/2/2019

B
District of Columbia 2/1/2024

B
Ohio 5/8/2020

B
Florida 2/4/2009

B
Oklahoma 1/7/2021

B
Georgia 1/11/2019

B
Oregon 2/1/2008

B
Hawaii 1/11/2019

B
Pennsylvania 1/11/2019

B
Idaho 9/6/2018

B
Rhode Island 5/21/2020

B
Illinois 2/1/2008

B
South Carolina 12/2/2021

B
Indiana 2/11/2008

B
South Dakota 4/21/2023

B
Kansas 1/11/2019

B
Tennessee 1/11/2019

B
Kentucky 5/8/2020

B
Texas 2/1/2008

B
Louisiana 1/11/2019

IA
Texas 12/10/2008

B
Maryland 5/21/2024

B
Utah 9/5/2017

B
Massachusetts 7/11/2017

B
Vermont 1/11/2019

B
Michigan 1/11/2019

B
Virginia 2/1/2008

B
Minnesota 1/11/2019

B
Washington 4/1/2013

B
Missouri 8/21/2024

B
West Virginia 5/18/2023

B
Montana 10/22/2021

B
Wyoming 12/16/2020

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

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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)
355 Santana Row Suite 2050, SAN JOSE, CA 95128
Morgan Hill, CA
Registered with this firm since 2/1/2008

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
355 Santana Row Suite 2050, SAN JOSE, CA 95128
Morgan Hill, CA
Registered with this firm since 2/1/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/08/1997 - 02/07/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN JOSE, CA
B
07/31/1993 - 02/07/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN JOSE, CA
B
04/11/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
10/01/1980 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
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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.