Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Dale Horn is an investment advisor representative with UBS Financial Services Inc. Richard has been in the financial services industry since 1997, and has a variety of licenses and registrations, including Series 7, 31, 63, 65, and 66, as well as licenses in multiple states. Richard has a strong background in portfolio management, working with both individuals and businesses. Richard also provides financial planning, and has a strong commitment to helping clients with their educational seminars. Richard was previously registered with Citigroup Global Markets Inc. and Legg Mason Wood Walker, Incorporated.
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
MD
10/03/2024 - Present
UBS Financial Services Inc. (BALTIMORE MD)
MD
02/21/2006 - 01/23/2009
CITIGROUP GLOBAL MARKETS INC. (TOWSON MD)
MD
07/11/2003 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
MO
12/10/1997 - 10/22/1999
FFP SECURITIES, INC. (CHESTERFIELD MO)
BOTH
Issued 08/07/2003
Series 66 - Uniform Combined State Law Examination
IA
Issued 07/28/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/31/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/11/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 07/10/2003
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
Not sure Richard Horn is the right advisor for you? Invested Better is here to help.
