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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 Martin Karoff is a financial professional with over 40 years of experience in the industry. Richard has held positions at several prominent firms, including Paine Webber Incorporated, CIBC World Markets Corp., Oppenheimer & Co. Inc. and currently at UBS Financial Services Inc. Richard holds a variety of licenses including Series 7, Series 24, Series 63 and Series 65. Richard has a proven track record of success in providing investment advice and financial planning services to a wide range of clients, including high-net-worth individuals, corporations, and institutions. Richard's expertise and experience make him a valuable resource for clients seeking to achieve their financial goals.
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
MA
09/20/2012 - Present
UBS Financial Services Inc. (BOSTON MA)
MA
01/03/2003 - 05/02/2012
OPPENHEIMER & CO. INC. (BOSTON MA)
NY
04/15/1994 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NJ
01/31/1980 - 04/21/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
03/02/1982 - 12/13/1982
FIRST NEW ENGLAND SECURITIES CORPORATION
NA
01/10/1956 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
IA
Issued 12/17/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/26/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/1977
PC - AMEX Put and Call Exam
BC
Issued 01/10/1956
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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