Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Joseph Mettman has been in the financial services industry since September 21, 1976. Richard is currently registered with UBS Financial Services Inc. and has been registered with the firm since February 9, 2007. Richard is also registered with the state of Texas, where he is a resident. Richard holds the Series 63, 65, 7 and 24 licenses and has been a Registered Representative for more than 40 years. Prior to his current employment, Richard was affiliated with McDonald Investments Inc. and Gradison & Company Incorporated. Richard has a long history of providing financial advice to individuals, families and businesses. Richard specializes in a wide range of financial products and services, including investment advisory services, financial planning, pension consulting and portfolio management for individuals and businesses. Richard is also a published author and speaker on financial topics. Richard has been recognized for his commitment to client service and his expertise in the financial services industry.
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
OH
02/28/2007 - Present
UBS Financial Services Inc. (CINCINNATI OH)
OH
10/04/1991 - 02/09/2007
MCDONALD INVESTMENTS INC. (CINCINNATI OH)
NA
09/22/1976 - 10/04/1991
GRADISON & COMPANY INCORPORATED
IA
Issued 03/27/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/10/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/05/1987
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/1977
PC - AMEX Put and Call Exam
BC
Issued 09/18/1976
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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