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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 Archibald is a financial advisor with over 29 years of experience in the industry. Richard has a wide range of experience including working for Morgan Stanley DW Inc. and currently works for UBS Financial Services Inc.. Richard holds a variety of licenses and registrations, including Series 7, 8, 9, 10, 31, 63, and 65. Richard is registered in the state of Ohio and holds a Series 65 license. Richard specializes in providing financial advice to individuals, corporations, and other businesses.
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
05/27/2005 - Present
UBS Financial Services Inc. (Miamisburg OH)
NY
03/21/1994 - 06/10/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 01/25/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/22/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/24/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 03/17/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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