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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

RICHARD KINKADE JR.

Advisor at UBS FINANCIAL SERVICES INC.

CORAL GABLES, FL

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Search this name across graphsid dfx:ria:69d299fc-3b93-abe4-4a46-dd732cf55431

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 24, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 22, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 22, 2007
First registration: May 24, 2007
Dual registered: yes, broker-dealer
Other names: RICHARD PAISLEY KINKADE|Richard Paisley Kinkade
IAPD individual key: 5324438

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 8, 2024	n/a	yes	CORAL GABLES, FL	Current employment
STRATEGY ASSET MANAGERS L.L.C.	Independent wealth	Jul 12, 2021	Mar 7, 2024	no	Coral Gables, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 1, 2010	Jun 30, 2021	no	CORAL GABLES, FL	Previous registration
UBS INTERNATIONAL INC.	n/a	May 24, 2007	Jan 1, 2010	no	CORAL GABLES, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STRATEGY ASSET MANAGERS L.L.C.	UBS FINANCIAL SERVICES INC.	Mar 7, 2024	Apr 8, 2024	32	Firm change	RIA to wirehouse
UBS FINANCIAL SERVICES INC.	STRATEGY ASSET MANAGERS L.L.C.	Jun 30, 2021	Jul 12, 2021	12	Firm change	Wirehouse to RIA
UBS INTERNATIONAL INC.	UBS FINANCIAL SERVICES INC.	Jan 1, 2010	Jan 1, 2010	0	Bulk transfer	Other

Relationships

Registered with (3)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 1, 2010 to Jun 30, 2021factForm ADV
→ STRATEGY ASSET MANAGERS L.L.C.Registered adviserregistration: previous registration
Jul 12, 2021 to Mar 7, 2024factForm ADV
→ UBS INTERNATIONAL INC.Registered adviserregistration: previous registration
May 24, 2007 to Jan 1, 2010factForm ADV

Dated events

Occurred
Mar 7, 2024
Advisor changed firm
Richard Kinkade Jr. left Strategy Asset Managers L.L.C. for Ubs Financial Services Inc. (registered 2024-04-08)
Form ADVobserved 4 days ago