DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

RICHARD JAMES CHILDS

Advisor at UBS FINANCIAL SERVICES INC.

Sugar Land, TX | SUGAR LAND, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:96e33835-987f-1ebd-ca17-013c689abae1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 27, 2000 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 12, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: May 12, 1983
First registration: Sep 27, 2000
Dual registered: yes, broker-dealer
Other names: RICK CHILDS
IAPD individual key: 1125478

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	Jan 9, 2014	n/a	yes	SUGAR LAND, TX\|Sugar Land, TX	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jan 16, 2014	no	SUGARLAND, TX\|Sugar Land, TX	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 21, 2006	Jun 1, 2009	no	SUGARLAND, TX\|HOUSTON, TX\|NEW YORK, NY\|HOUSTON, TX	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Dec 18, 2002	Feb 21, 2006	no	HOUSTON, TX	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Sep 27, 2000	Dec 20, 2002	no	HOUSTON, TX	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
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Jan 16, 2014	Jan 9, 2014	-7	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
LEGG MASON WOOD WALKER, INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Feb 21, 2006	Feb 21, 2006	0	Bulk transfer	Other
PRUDENTIAL EQUITY GROUP, LLC	LEGG MASON WOOD WALKER, INCORPORATED	Dec 20, 2002	Dec 18, 2002	-2	Firm change	Other

Relationships

Registered with (5)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Jan 9, 2014 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jan 16, 2014factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 21, 2006 to Jun 1, 2009factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Dec 18, 2002 to Feb 21, 2006factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Sep 27, 2000 to Dec 20, 2002factForm ADV

Dated events

No dated event names this entity yet.