Rishi
Oad

Ubs Financial Services Inc

CRD#6632036
Investment Advisor
in Denver, CO

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About this Advisor

Rishi Oad is a financial advisor based in Denver, Colorado, working with UBS Financial Services Inc. Rishi has previously held positions at Merrill Lynch, Pierce, Fenner & Smith Inc, Zavanna, LLC, PwC, Bank of America, N.A, and UBS Financial Services Inc. Rishi has passed the Series 66 regulatory exam and is registered to provide services in Colorado. Currently, Rishi is part of UBS Financial Services Inc, which operates out of Denver, Colorado. The firm has 369 offices and 12,701 employees. The firm manages assets totaling $702.4 billion and serves a variety of clients, including charitable organizations and high-net-worth individuals. The services offered by the firm include financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters, security rating services, and educational seminars. The fee structure at UBS Financial Services Inc includes asset-based, hourly, fixed, commission-based, and other fees.

Certifications and Registrations

Series 66

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions, Others

Office Location

205 Detroit Street 5Th Floor
Denver, CO 80206

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management

$702,387,082,915

CO Average: $10,121,009,343
Total Number of Employees

12,701

CO Average: 92
Total Number of Accounts

1,093,486

CO Average: 6,978
Average Account Size

$642,338

CO Average: $1,450,417

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops

Rishi Oad Work History

2022 - Present (2 years)

Ubs Financial Services Inc

2016 - 2022 (6 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

2016 - 2022 (6 years)

Bank Of America, N.A

2012 - 2016 (4 years)

Zavanna, LLC

2012 - 2014 (2 years)

Pwc

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Disclosures

Please visit the SEC profile of Rishi Oad to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Ubs Financial Services Inc

Hailey Van Avery
Everett, WA
Dominic Russo
Weehawken, NJ
Matthew Smith
Bethesda, MD
Vincent Andrighetto
Palo Alto, CA
Emily Puckett
Knoxville, TN
Lauren Srour
Short Hills, NJ
Jasmine Richardson
Mount Laurel, NJ
Samantha Wagner
New York, NY

The content in this profile was updated by SmartAsset on 6/19/2024. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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