Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Ralph Lafferty is a financial advisor with UBS Financial Services Inc. Richard has been in the financial industry since 1976. Richard has a Series 7, Series 63, Series 31 and Series 65 licenses and is a Certified Financial Planner. Richard is registered in multiple states including New Jersey and Texas. Prior to joining UBS Financial Services Inc., Richard worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Mutual of Omaha Fund Management Company.
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
NJ
02/07/1991 - Present
UBS Financial Services Inc. (PRINCETON NJ)
NA
09/26/1978 - 11/07/1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
02/08/1978 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
NA
09/16/1976 - 09/08/1978
MUTUAL OF OMAHA FUND MANAGEMENT COMPANY
IA
Issued 02/22/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/04/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 02/18/1978
Series 7 - General Securities Representative Examination
BC
Issued 09/10/1976
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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