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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 Schneider is a financial advisor with over 30 years of experience in the industry. Richard is currently registered with UBS Financial Services Inc. and has been with the firm since June 2006. Prior to joining UBS, Richard worked for several other financial institutions, including Kidder, Peabody & Co. Incorporated, Shearson Lehman Hutton Inc., E. F. Hutton & Company Inc., and Shearson Lehman Brothers Inc. Richard holds several industry licenses, including Series 7, Series 31, Series 63, and Series 65. Richard has also obtained the Securities Industry Essentials Examination (SIE) license. Richard specializes in providing financial planning, portfolio management, and pension consulting services to individual clients, corporations, businesses, charitable organizations, high-net-worth individuals, and pension and profit-sharing plans.
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
AZ
09/19/2002 - Present
UBS Financial Services Inc. (SCOTTSDALE AZ)
NY
05/03/1989 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
04/11/1988 - 06/05/1989
SHEARSON LEHMAN HUTTON INC.
NA
09/08/1986 - 04/11/1988
E. F. HUTTON & COMPANY INC
NA
09/24/1985 - 09/02/1986
SHEARSON LEHMAN BROTHERS INC.
IA
Issued 02/19/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/13/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/07/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 09/21/1985
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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