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RICHARD SCHUTT
CRD#: 827607
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 MELLON BANK CTR.
1735 MARKET STREET, 44th Floor
PHILADELPHIA, PA 19103
Registration History
1980198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - Present (16 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1995 - Present (30 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1986 - 1995 (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1978 - 1986 (8 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 572)1976 - 1978 (2 years)
License(s)

State Registrations

B
Arizona 1/31/2018

B
New Hampshire 6/26/2019

B
Arkansas 12/8/2020

B
New Jersey 1/28/1995

B
California 1/28/1995

B
New Mexico 8/4/2014

B
Colorado 6/2/1999

B
New York 1/28/1995

B
Connecticut 6/12/2014

B
North Carolina 1/28/1995

B
Delaware 1/28/1995

B
Ohio 6/19/2009

B
District of Columbia 10/20/2016

B
Oregon 7/24/2015

B
Florida 1/28/1995

B
Pennsylvania 1/28/1995

IA
Florida 10/26/2020

IA
Pennsylvania 12/3/2012

B
Georgia 1/28/1995

B
South Carolina 5/27/2020

B
Idaho 8/18/2017

B
Tennessee 1/28/1995

B
Illinois 10/20/2016

IA
Texas 3/17/2008

B
Kentucky 12/9/2019

B
Texas 3/8/2017

B
Maryland 1/28/1995

B
Utah 4/6/2021

B
Massachusetts 7/22/2015

B
Vermont 3/9/2010

B
Michigan 10/20/2016

B
Virginia 1/28/1995

B
Montana 10/20/2016

B
Washington 3/15/2012

B
Nevada 10/20/2016

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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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
MELLON BANK CTR. 1735 MARKET STREET, 44th Floor, PHILADELPHIA, PA 19103
Lake Worth, FL
Registered with this firm since 3/17/2008

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
MELLON BANK CTR. 1735 MARKET STREET, 44th Floor, PHILADELPHIA, PA 19103
Lake Worth, FL
Registered with this firm since 1/28/1995

Previous Registration(s)
th hidden textth hidden textNameLocation
B
09/03/1986 - 01/28/1995 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
09/26/1978 - 09/23/1986 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
B
09/22/1976 - 09/26/1978 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (CRD#:572)
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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.