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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Anton Cyphers is an investment advisor with UBS Financial Services Inc. Richard has been in the industry since 1977, holding registrations with both the Securities and Exchange Commission and various states. Richard has earned several licenses including Series 65, 63, 10, 9, 24, 4, 12, and SIE. Richard is a registered representative in 37 states and has worked at UBS Financial Services Inc. since 2009. Previously, Richard was also registered with Citigroup Global Markets Inc., Shearson Lehman Hutton Inc. and E. F. Hutton & Company 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
CT
11/02/2021 - Present
UBS Financial Services Inc. (HARTFORD CT)
CT
07/26/1988 - 04/21/2009
CITIGROUP GLOBAL MARKETS INC. (HARTFORD CT)
NA
02/15/1988 - 08/23/1988
SHEARSON LEHMAN HUTTON INC.
NA
04/21/1977 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 2/9/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/27/1985
Series 24 - General Securities Principal Examination
BC
Issued 10/23/1985
Series 4 - Registered Options Principal Examination
BC
Issued 7/18/1981
Series 12 - NYSE Branch Manager Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/9/1979
PC - AMEX Put and Call Exam
BC
Issued 4/16/1977
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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