Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Duarte is a financial advisor with UBS Financial Services Inc., located in San Diego, California. Richard has been in the financial industry for over 26 years. Richard is registered with the state of California and Texas as a Registered Investment Advisor. Richard's previous experience includes working as a financial advisor at Morgan Stanley, Wells Fargo Clearing Services, LLC, Prudential Securities Incorporated, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Richard has a strong understanding of the financial markets and can help clients develop investment strategies that meet their specific needs.
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
CA
09/15/2023 - Present
UBS Financial Services Inc. (SAN DIEGO CA)
CA
06/14/2021 - 09/20/2023
MORGAN STANLEY (San Diego CA)
CA
07/01/2003 - 06/18/2021
WELLS FARGO CLEARING SERVICES, LLC (SAN DIEGO CA)
NY
12/14/1999 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
06/11/1997 - 10/13/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 07/14/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/20/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/09/1997
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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