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Gregory Richardson

UBS Financial Services INC.
33 Years of Experience
Sioux Falls, SD
2 DisclosuresBroker
View SEC Summary
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Gregory Richardson is a registered investment advisor at UBS Financial Services INC., based in Sioux Falls, SD, with 33 years of industry experience. Gregory is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.

UBS Financial Services INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B

Fee Structure

Investment management only (planning not offered)
  • Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
View Full SEC Brochure

Location

Sioux Falls, SD

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2002
Closed-No Action
Customer Dispute
July 2002
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Gregory owns a rental loft property in Denver and townhomes in Sioux Falls. He spends minimal time on each property, collecting rent.

Employment History
Current Registrations
UBS Financial Services INC.
September 2015 - Present · 11 yrs 1 mo
UBS Financial Services INC.
September 2015 - Present · 11 yrs 1 mo
UBS Financial Services INC.Broker
September 2015 - Present · 11 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
May 2000 - September 2015 · 15 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 2000 - September 2015 · 15 yrs 5 mos
Norwest Investment Services, INC.Broker
December 1992 - April 2000 · 7 yrs 4 mos
State Registrations36 states
AKARAZCACOCTDEFLGAILINLAMAMDMIMNMTNCNENJNMNVNYOHOKORPASCSDTNTXUTVAWAWIWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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