Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Michael Casavechia is a financial advisor with UBS Securities LLC, based in Dallas, TX. Richard has been in the financial services industry since 2004 and has a broad range of experience in the industry. Richard is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, Series 24, Series 63, and Series 79TO licenses, as well as the Securities Industry Essentials (SIE) Exam. He is also registered to offer securities products and services in all 50 states. Previously, Richard held positions at Barclays Capital Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC of America Securities LLC, and J.P. Morgan Securities Inc..
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.
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.
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2
TX
08/16/2023 - Present
UBS Securities LLC (DALLAS TX)
NY
12/05/2014 - 08/24/2023
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
01/02/2009 - 11/28/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/02/2006 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
01/07/2004 - 02/17/2006
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 04/01/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/27/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/2004
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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