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Richard Casey Talbot

UBS Asset Management (us) Inc.

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About Richard Casey Talbot

Richard Casey Talbot is a financial professional with over 25 years of experience in the industry. Richard is currently registered with UBS Asset Management (us) Inc. and is a Series 7, 9, 10, 24, 63 licensed professional. Richard has held previous positions at Deutsche Bank Securities Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Securities LLC, UBS Securities LLC, and Lehman Brothers Inc. Richard is licensed in New York.

Firm Information

Richard Talbot is currently registered with UBS Asset Management (us) Inc.. UBS Asset Management (us) Inc. is a corporation formed in May 1977 and is approved in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 1 approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

37

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Richard Talbot’s Registration & Firm History

NY

08/13/2013 - Present

UBS Asset Management (us) Inc. (NEW YORK NY)

NY

07/13/2010 - 02/05/2013

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

IL

03/04/2009 - 07/01/2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHICAGO IL)

IL

05/29/2007 - 07/01/2010

BANC OF AMERICA SECURITIES LLC (CHICAGO IL)

IL

10/29/1999 - 03/30/2007

UBS SECURITIES LLC (CHICAGO IL)

NY

09/30/1997 - 10/13/1999

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/01/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/09/2009

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/25/2008

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 03/05/2007

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/29/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Casey Talbot.
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