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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 Emmelhainz is a financial advisor with over 40 years of experience in the industry. Richard is registered with UBS Financial Services Inc. Richard has a broad range of licenses including Series 3, 4, 5, 7, 9, 10, 12, 24, 52, 53, and 63. Richard is currently registered in Indiana and Texas and has been registered in many other states. Richard's areas of expertise include securities, commodities, municipal securities, and financial planning. Richard has worked for UBS Financial Services Inc. since 1970. Previously, Richard worked for Paine, Webber, Jackson & Curtis Incorporated.
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
IN
01/23/2013 - Present
UBS Financial Services Inc. (FORT WAYNE IN)
NA
03/26/1979 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BC
Issued 05/08/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/29/1995
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/13/1995
Series 24 - General Securities Principal Examination
BC
Issued 05/08/1984
Series 4 - Registered Options Principal Examination
BC
Issued 09/23/1980
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/1984
Series 3 - National Commodity Futures Examination
BC
Issued 10/22/1981
Series 5 - Interest Rate Options Examination
BC
Issued 03/17/1979
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
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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