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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 Roque Gamboa is a financial advisor registered with UBS Financial Services Inc. Richard has been a financial advisor since 1980 and is licensed in 42 states. Richard has experience working with individuals, corporations, and institutions, and has helped his clients with financial planning, portfolio management, and other financial needs. Richard is a Series 7 and Series 63 licensed advisor. Prior to joining UBS Financial Services Inc., Richard worked at CITIGROUP GLOBAL MARKETS INC., Lehman Brothers Inc., and E. F. HUTTON & COMPANY 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.
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
CA
12/10/2008 - Present
UBS Financial Services Inc. (SAN JOSE CA)
CA
07/31/1993 - 02/07/2008
CITIGROUP GLOBAL MARKETS INC. (SAN JOSE CA)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/01/1980 - 04/11/1988
E. F. HUTTON & COMPANY INC
IA
Issued 11/12/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/17/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1980
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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