Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Coltrera is a financial advisor registered with UBS Financial Services Inc., based in Westfield, NJ. Richard has over 46 years of experience in the financial services industry. He is a registered representative with Series 7, Series 31, Series 52, and Series 63 licenses. He holds the Series 65 and Series 27 licenses as well. Previously, he was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Glen Rauch Securities, Inc., Bear, Stearns & Co. Inc., Tucker, Anthony & R. L. Day, Inc., and Gabriele, Hueglin & Cashman 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
NJ
01/05/2024 - Present
UBS Financial Services Inc. (WESTFIELD NJ)
NY
01/06/1995 - 05/31/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/11/1989 - 01/24/1995
GLEN RAUCH SECURITIES, INC. (NEW YORK NY)
NY
07/18/1986 - 07/21/1989
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NA
12/02/1985 - 07/21/1986
TUCKER, ANTHONY & R. L. DAY, INC.
NA
10/17/1981 - 12/13/1985
GABRIELE, HUEGLIN & CASHMAN INC.
NA
04/18/1977 - 11/25/1981
J. J. KENNY CO., INC.
IA
Issued 03/24/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/16/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/09/1989
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 11/21/1981
Series 7 - General Securities Representative Examination
BC
Issued 02/05/1979
Series 52 - Municipal 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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