Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Victor Uva is a financial advisor at UBS Financial Services Inc. Richard has been in the financial industry for over 20 years. Richard is registered with FINRA and the state of Connecticut. Richard is a licensed Series 7, Series 3, Series 4, Series 8, Series 24, Series 55, Series 63 and Series 66. Richard has been with UBS Financial Services since December 2021. Prior to that, Richard was with UBS Securities LLC from June 1998 to December 2008. UBS Financial Services Inc. offers a variety of financial services to individuals, corporations, and institutions. They provide financial planning, portfolio management, investment research, and other related services. The firm has over $50 billion in assets under management.
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
MA
02/23/2022 - Present
UBS Financial Services Inc. (BOSTON MA)
CT
06/29/1998 - 12/11/2008
UBS SECURITIES LLC (STAMFORD CT)
CT
09/02/1997 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
01/03/1995 - 09/02/1997
SBC WARBURG, INC. (NEW YORK NY)
NY
09/19/1990 - 01/03/1995
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC. (NEW YORK NY)
NA
10/13/1983 - 02/17/1988
WALSH, GREENWOOD & CO.
BOTH
Issued 2/23/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/3/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/23/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 8/23/1996
Series 4 - Registered Options Principal Examination
BC
Issued 9/26/1995
Series 24 - General Securities Principal Examination
BC
Issued 1/21/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/19/2021
SIE - Securities Industry Essentials Examination
BC
Issued 10/5/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 4/24/1991
Series 3 - National Commodity Futures Examination
BC
Issued 9/17/1983
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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