Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Scharff is a financial advisor who has been in the industry since 1985. Richard is currently registered with UBS Financial Services Inc. and is licensed to conduct business in Tennessee, Texas, and several other states. Before joining UBS Financial Services Inc., Richard worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Richard holds Series 7, Series 31, and Series 63 securities licenses, as well as a Series 65 investment advisor license. Richard provides a wide range of financial services including financial planning, portfolio management, and educational seminars.
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
TN
06/19/2009 - Present
UBS Financial Services Inc. (MEMPHIS TN)
TN
10/25/1985 - 06/23/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GERMANTOWN TN)
IA
Issued 12/02/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/22/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 10/19/1985
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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