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 Gaige is a financial advisor at UBS Financial Services Inc. Richard has been in the industry since 2002 and has been registered with UBS Financial Services Inc. since 2015. Richard has experience working with a wide range of clients, including high-net-worth individuals, corporations, and charitable organizations. Prior to UBS, Richard worked at Morgan Stanley, Citigroup Global Markets Inc., and Merrill Lynch. Richard is licensed to provide securities and investment advisory services in numerous states across the country.
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
MD
08/13/2024 - Present
UBS Financial Services Inc. (BALTIMORE MD)
MD
06/01/2009 - 10/20/2015
MORGAN STANLEY (COLUMBIA MD)
MD
12/05/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (COLUMBIA MD)
MD
10/15/2002 - 12/10/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (COLUMBIA MD)
MD
01/14/2005 - 01/20/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
BOTH
Issued 11/04/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 10/14/2002
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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