Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Hughes is a financial advisor with UBS Financial Services Inc. with over 30 years of experience in the financial services industry. Richard has held licenses in multiple states, including New Jersey, Pennsylvania, and Texas. Richard specializes in providing financial planning, portfolio management, and pension consulting services to a diverse range of clients.
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
PA
07/22/2021 - Present
UBS Financial Services Inc. (PHILADELPHIA PA)
NJ
03/23/2012 - 07/26/2021
MORGAN STANLEY (Mount Laurel NJ)
NJ
02/03/2006 - 04/02/2012
UBS FINANCIAL SERVICES INC. (MT. LAUREL NJ)
NY
05/10/2002 - 02/06/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
02/19/1993 - 05/15/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/08/1992 - 01/22/1993
L.C. WEGARD & CO., INC. (NEW YORK NY)
IA
Issued 07/17/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/12/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 09/05/1992
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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