Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Schutt has been in the financial industry since September 21, 1976. Richard is currently registered with UBS Financial Services Inc. and has been with the firm since September 1986. Richard is licensed in Florida, Pennsylvania and Texas. Richard has been registered with the Securities and Exchange Commission (SEC) since 1986. Richard has a history of working with individuals, corporations, high net worth individuals, charitable organizations, state or municipal government entities, investment companies, insurance companies, pension and profit sharing plans, pooled investment vehicles and banking or thrift institutions.
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
PA
03/17/2008 - Present
UBS Financial Services Inc. (PHILADELPHIA PA)
NY
09/03/1986 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
09/26/1978 - 09/23/1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
09/22/1976 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 11/03/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/22/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/1977
PC - AMEX Put and Call Exam
BC
Issued 09/18/1976
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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