Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Childs is a financial advisor with over 30 years of experience. He is currently registered with UBS Financial Services Inc. Richard has previously held positions with Morgan Stanley, Citigroup Global Markets Inc., Legg Mason Wood Walker, Incorporated, Prudential Securities Incorporated, PaineWebber Incorporated, Mercer Global Securities LLC, and First New England Securities Corporation. Richard holds the Series 3, 7, 9, 10, 63, and 65 licenses. He is a highly experienced and knowledgeable financial advisor.
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
TX
01/09/2014 - Present
UBS Financial Services Inc. (SUGAR LAND TX)
TX
06/01/2009 - 01/16/2014
MORGAN STANLEY (SUGARLAND TX)
TX
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SUGARLAND TX)
MD
12/18/2002 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
09/27/2000 - 12/20/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
01/07/2000 - 09/29/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
CA
06/29/1999 - 01/07/2000
MERCER GLOBAL SECURITIES LLC (IRVINE CA)
NJ
08/11/1994 - 10/16/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
10/19/1983 - 08/17/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
04/18/1983 - 12/28/1984
FIRST NEW ENGLAND SECURITIES CORPORATION
NA
06/07/1983 - 10/11/1983
DOMINICK & DOMINICK, INCORPORATED
IA
Issued 12/13/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/12/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/16/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/09/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/2000
Series 3 - National Commodity Futures Examination
BC
Issued 03/19/1983
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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