Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard A Johnson jr. has been in the financial industry since 1973 and is currently registered as a broker with UBS Financial Services Inc. Richard A Johnson jr. has been registered in several states and has several exams. Richard A Johnson jr. has been registered with UBS Financial Services Inc. since 1995. Richard A Johnson jr. is also a trustee for J. Family Trust in Santa Barbara, California. Richard A Johnson jr. provides financial planning, portfolio management for individuals and businesses, pension consulting, educational seminars and selection of other advisors.
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
NY
01/05/2006 - Present
UBS Financial Services Inc. (New York NY)
NY
01/16/1973 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
01/18/1973 - 05/19/1978
KIDDER, PEABODY & CO., INCORPORATED
IA
Issued 04/13/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/24/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1977
PC - AMEX Put and Call Exam
BC
Issued 01/15/1973
Series 1 - Registered 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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