Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rick? Claim Your ProfileRick James Link is an active financial advisor with over 40 years of experience in the industry. Rick is currently registered as a Broker-Dealer and Investment Advisor Representative with UBS Financial Services Inc. in Plano, Texas. Previously, Rick worked for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and BLC EQUITY SERVICES CORPORATION. Rick has a comprehensive background in the financial industry, holding a variety of licenses and registrations, including Series 6, 7, 3, 8, 9, 10, 63, and 65.
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
TX
01/29/2009 - Present
UBS Financial Services Inc. (PLANO TX)
TX
02/28/1984 - 01/30/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PLANO TX)
NA
03/09/1983 - 01/04/1984
BLC EQUITY SERVICES CORPORATION
IA
Issued 08/17/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/02/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/06/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/1989
Series 3 - National Commodity Futures Examination
BC
Issued 02/18/1984
Series 7 - General Securities Representative Examination
BC
Issued 03/08/1983
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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