Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Milligan is a financial advisor who has been working in the industry since September 11, 1990. Richard is currently registered with UBS Financial Services Inc., located in Rocky River, OH. Richard has a broad range of experience in the industry, having held previous positions with McDonald Investments Inc., Natcity Insurance Services, Inc., Natcity Investments, Inc., Liberty Securities Corporation, Independent Financial Securities, Inc., National City Investments Corporation, and Dean Witter Reynolds Inc. Richard is licensed to provide financial advice in a number of states, including California, Georgia, Ohio, and Texas. Richard holds the Series 31, SIE, and Series 7 licenses.
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
OH
07/10/2019 - Present
UBS Financial Services Inc. (ROCKY RIVER OH)
OH
11/19/1999 - 02/09/2007
MCDONALD INVESTMENTS INC. (ROCKY RIVER OH)
OH
08/31/1999 - 11/16/1999
NATCITY INSURANCE SERVICES, INC. (CLEVELAND OH)
OH
06/01/1996 - 11/16/1999
NATCITY INVESTMENTS, INC. (CLEVELAND OH)
NY
08/03/1998 - 09/01/1999
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NA
05/12/1994 - 08/03/1998
INDEPENDENT FINANCIAL SECURITIES, INC.
NA
06/05/1992 - 06/01/1996
NATIONAL CITY INVESTMENTS CORPORATION
NY
06/20/1989 - 03/15/1991
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 07/02/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/14/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/16/2019
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/1989
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
Not sure Richard Milligan is the right advisor for you? Invested Better is here to help.
