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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 Wilson is a financial advisor with over 40 years of experience in the industry. Richard is currently registered with Morgan Stanley and has previously worked at UBS Financial Services Inc., J.C. Bradford & Co., Prudential Securities Incorporated and Paine, Webber, Jackson & Curtis Inc. Richard holds a Series 7, Series 63, Series 65 and Series SIE license. Richard is registered in 33 states for brokerage services and in 2 states for investment advisor services. Richard specializes in providing a wide range of financial advisory services including financial planning, portfolio management, asset allocation advice, pension consulting, and educational seminars.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
KY
09/26/2014 - Present
Morgan Stanley (Louisville KY)
KY
08/14/2000 - 09/05/2014
UBS FINANCIAL SERVICES INC. (LOUISVILLE KY)
NY
01/08/1998 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NY
03/27/1984 - 12/09/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
01/31/1980 - 04/27/1984
PAINE, WEBBER, JACKSON & CURTIS INC.
NA
05/17/1979 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
IA
Issued 08/12/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/03/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/1984
PC - AMEX Put and Call Exam
BC
Issued 02/19/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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