Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Mulcahy is a financial advisor with UBS Securities LLC, located in Stamford, CT. Richard has been in the financial industry since January 2, 1989. He is licensed to provide investment advice in Connecticut. Richard is a registered representative of UBS Securities LLC and has the Series 7, 8, 55, 63 and SIE licenses.
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.
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.
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2
CT
02/10/2006 - Present
UBS Securities LLC (STAMFORD CT)
CT
05/10/2002 - 04/17/2006
UBS CAPITAL MARKETS L.P. (STAMFORD CT)
TX
03/14/1992 - 03/09/2004
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
06/01/1990 - 11/01/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CO
08/24/1987 - 06/21/1990
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
BC
Issued 08/27/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/27/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/18/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/15/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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