Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Held is a financial advisor with UBS Financial Services Inc. Richard is registered with the Securities and Exchange Commission (SEC) as a Registered Representative and Investment Advisor Representative. Richard has been in the financial services industry since 1972 and has held positions with several firms, including KIDDER, PEABODY & CO. INCORPORATED, THE CHICAGO CORPORATION, DREXEL BURNHAM LAMBERT INCORPORATED, PAINE, WEBBER, JACKSON & CURTIS INC., BLYTH EASTMAN DILLON & CO. INCORPORATED, and EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED. Richard's primary office is located in Chicago, Illinois. Richard also holds licenses in 52 states.
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
IL
01/28/1995 - Present
UBS Financial Services Inc. (CHICAGO IL)
NY
12/15/1986 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
08/20/1985 - 12/09/1986
THE CHICAGO CORPORATION
NA
07/15/1985 - 08/02/1985
THE CHICAGO CORPORATION
NA
09/02/1980 - 08/01/1985
DREXEL BURNHAM LAMBERT INCORPORATED
NA
01/31/1980 - 10/02/1980
PAINE, WEBBER, JACKSON & CURTIS INC.
NA
11/14/1972 - 01/31/1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
NA
07/21/1972 - 11/14/1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
IA
Issued 03/03/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/16/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/06/1981
PC - AMEX Put and Call Exam
BC
Issued 07/19/1972
Series 000 - General Securities Principal Examination
BC
Issued 07/19/1972
Series 1 - Registered 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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