Richard J. Reynolds
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard James Reynolds, who also goes by Richard James Reynolds, Richard Reynolds, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2020 - July 22, 2022
UBS SECURITIES LLC
July 11, 2013 - July 24, 2018
SG AMERICAS SECURITIES, LLC
August 18, 2011 - July 11, 2013
MOELIS & COMPANY LLC
December 7, 2000 - October 7, 2009
SANFORD C. BERNSTEIN & CO., LLC
February 8, 1994 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 6/3/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MILLER, MAURA ANNE | CHIEF COMPLIANCE OFFICER | 4444187 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 309 |
| Civil Event | 4 |
| Arbitration | 4 |
Red Flags
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