Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Ricker is a registered representative with UBS Financial Services Inc. David has been in the industry since 2004 and is licensed in New Jersey. David has also been previously employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. David has passed a number of industry exams including the Series 3, 7, 9, 10, and 66. David holds a number of specializations. David specializes in insurance companies, investment companies, charitable organizations, high-net-worth individuals, other investment advisers, pooled investment vehicles, banking or thrift institutions, business development companies, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, state or municipal government entities, and sovereign wealth funds and foreign official institutions. David is registered as a representative of UBS Financial Services Inc.
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
NJ
10/10/2017 - Present
UBS Financial Services Inc. (Weehawken NJ)
NJ
09/10/2004 - 10/16/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)
BOTH
Issued 05/01/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/20/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/07/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/2018
Series 3 - National Commodity Futures Examination
BC
Issued 09/09/2004
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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