Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Alan Abrams is a financial advisor with over 40 years of experience in the industry. Richard is registered with UBS Financial Services Inc., a large broker-dealer and investment advisor. Richard is licensed in multiple states and holds several securities licenses, including Series 3, 5, 7, and 63 as well as the Uniform Investment Adviser Law Examination (Series 65).
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
02/02/2009 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
05/22/1989 - 06/24/1992
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
05/24/1983 - 05/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
IA
Issued 09/20/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/05/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/1983
Series 5 - Interest Rate Options Examination
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
BC
Issued 03/15/1983
Series 3 - National Commodity Futures 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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