Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Julie? Claim Your ProfileJulie Richards has over 30 years of experience in the financial services industry. Julie is registered as a Registered Representative with UBS Financial Services Inc. in Washington state. Prior to joining UBS, Julie was employed by Kidder, Peabody & Co. Incorporated, Bateman Eichler, Hill Richards, Incorporated, Shearson Lehman Hutton Inc., E. F. Hutton & Company Inc, Shearson Lehman/American Express Inc., and Morgan Stanley & Co., Incorporated. Julie has passed the Series 3, Series 7, Series 63, and Series 65 exams and holds the SIE.
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
WA
01/16/1998 - Present
UBS Financial Services Inc. (SEATTLE WA)
NY
08/27/1990 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
02/26/1988 - 05/01/1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
NY
02/15/1988 - 03/15/1988
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
04/04/1985 - 02/15/1988
E. F. HUTTON & COMPANY INC
NA
09/16/1983 - 03/15/1985
SHEARSON LEHMAN/AMERICAN EXPRESS INC.
NA
03/26/1982 - 08/30/1983
MORGAN STANLEY & CO., INCORPORATED
IA
Issued 12/5/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/24/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/1986
Series 3 - National Commodity Futures Examination
BC
Issued 3/20/1982
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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