Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Freedman is a financial advisor registered with UBS Financial Services Inc. Richard is a Registered Representative with 35 years of experience in the financial services industry. Richard has earned the Series 3, 7, 31, 63 and 65 licenses and has a wealth of experience working with individuals, high net worth individuals, corporations, and pension and profit sharing plans. Richard is committed to providing personalized financial advice to help clients achieve their financial goals. Richard is also a member of the board of directors for the Jewish Big Brothers Big Sisters Association, where he is the Vice President.
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
OH
03/07/2012 - Present
UBS Financial Services Inc. (CLEVELAND OH)
OH
06/01/2009 - 06/01/2011
MORGAN STANLEY SMITH BARNEY (CLEVELAND OH)
OH
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CLEVELAND OH)
NY
07/25/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
10/27/1989 - 08/08/1991
COWEN & CO. (NEW YORK NY)
NY
12/22/1987 - 11/08/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 08/25/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/06/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 12/19/1987
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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