Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Ugolini is a financial professional with over 30 years of experience in the industry. Richard is currently registered with Morgan Stanley. Previously, Richard was registered with MORGAN STANLEY & CO. LLC and MORGAN STANLEY & CO. INCORPORATED. Richard is licensed to provide investment advice in 53 states. Richard has extensive experience in investment banking, securities trading, and financial planning.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
05/21/2020 - Present
Morgan Stanley (New York NY)
NY
01/06/2011 - 06/09/2021
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NY
07/01/1993 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
BC
Issued 06/21/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/21/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/21/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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