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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 Rohr is an investment advisor with over 35 years of experience in the financial services industry. Richard is currently registered with UBS Financial Services Inc. in Connecticut and Colorado. Richard has a strong track record of success in helping clients achieve their financial goals. Richard has expertise in a wide range of financial products and services, including investment management, financial planning, and retirement planning. Richard is committed to providing clients with personalized advice and exceptional service.
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
CT
11/09/2007 - Present
UBS Financial Services Inc. (STAMFORD CT)
CT
04/02/2007 - 11/14/2007
MORGAN STANLEY & CO., INCORPORATED (FAIRFIELD CT)
CT
05/21/1987 - 04/02/2007
MORGAN STANLEY DW INC. (FAIRFIELD CT)
IA
Issued 12/23/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/28/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/20/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/1990
Series 3 - National Commodity Futures Examination
BC
Issued 05/16/1987
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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