Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew Sam Rich has been in the financial services industry since 1997. Matthew is a registered representative with UBS Financial Services INC. Matthew is also registered with the state of Colorado as a registered investment advisor. Prior to joining UBS Financial Services INC., Matthew worked at THOMAS WEISEL PARTNERS LLC, C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP), and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Matthew holds the Series 3, 7, and 63 licenses and the SIE and Series 65 certifications. Matthew is a member of the board of directors of LiFT Academy.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CO
07/02/2009 - Present
UBS Financial Services Inc. (BOULDER CO)
CA
03/23/2004 - 07/13/2009
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
NY
10/04/1996 - 01/01/1998
C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) (NEW YORK NY)
NY
12/06/1991 - 09/24/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 3/26/2004
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 4/26/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/17/2012
Series 3 - National Commodity Futures Examination
BC
Issued 3/20/2004
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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