Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Deluca is a financial advisor who has been in the industry since October 1, 2004. Richard is currently registered with UBS Financial Services Inc. and is located in Weehawken, NJ. Previously, Richard worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, Chase Investment Services Corp., and Banc One Securities Corporation. Richard holds Series 6, 7, 63 and SIE licenses. Richard specializes in investment planning, financial planning, portfolio management for individuals and businesses, and educational seminars.
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
01/27/2016 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
MI
07/13/2010 - 01/06/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TROY MI)
MI
07/06/2005 - 06/23/2010
CHASE INVESTMENT SERVICES CORP. (ROCHESTER HILLS MI)
IL
08/24/2004 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
BC
Issued 09/03/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2010
Series 7 - General Securities Representative Examination
BC
Issued 08/23/2004
Series 6 - Investment Company Products/Variable Contracts 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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