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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 Berardo is an Investment Advisor Representative and Financial Advisor at UBS Financial Services Inc. Richard Berardo has been in the industry for over 30 years and has experience working with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations. Richard is licensed to offer securities and investment advice in multiple states. Richard Berardo has worked at UBS Financial Services Inc. for over 14 years. Before that, Richard worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Prudential Securities Incorporated, PaineWebber Incorporated, Rosenkrantz Lyon & Ross Incorporated, Investors Associates, Inc., Titan/Value Equities Group, Inc., and Thomas James Associates, Inc. Richard offers a variety of financial services, including financial planning, portfolio management, and retirement planning. Richard holds Series 3, 7, 9, 10, 63, and 65 licenses.
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
FL
12/10/2021 - Present
UBS Financial Services Inc. (Winter Park FL)
FL
05/16/2003 - 08/19/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HEATHROW FL)
NY
07/23/1996 - 06/06/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
09/24/1991 - 07/19/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
02/22/1991 - 10/22/1991
ROSENKRANTZ LYON & ROSS INCORPORATED (NEW YORK NY)
NJ
01/17/1991 - 02/14/1991
INVESTORS ASSOCIATES, INC. (HACKENSACK NJ)
CA
07/05/1990 - 01/31/1991
TITAN/VALUE EQUITIES GROUP, INC. (IRVINE CA)
NY
01/15/1990 - 06/06/1990
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
NA
01/02/1990 - 02/03/1990
FIRST EAGLE, INC.
IA
Issued 11/08/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/14/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/09/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/19/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/2010
Series 3 - National Commodity Futures Examination
BC
Issued 12/16/1989
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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