Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rico? Claim Your ProfileRico Anthony Otway is a financial advisor with UBS Financial Services Inc. Rico has been in the financial services industry since 2014 and has experience with various firms including Raymond James Financial Services, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and J.P. Morgan Securities LLC. Rico holds Series 6, 7, 9, 10, 63, and 65 licenses and is registered in several states. Rico has a wide range of experience, including working with individuals, businesses, and 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
NJ
02/07/2022 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
10/20/2020 - 07/20/2021
E*TRADE SECURITIES LLC (New York NY)
NY
02/04/2019 - 11/19/2020
TD AMERITRADE, INC. (FOREST HILLS NY)
NY
04/30/2018 - 01/18/2019
COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC (New York NY)
NY
07/21/2017 - 05/01/2018
RAYMOND JAMES FINANCIAL SERVICES, INC. (NEW YORK NY)
NY
04/14/2016 - 07/21/2017
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
11/05/2014 - 04/08/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/29/2014 - 11/03/2014
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
IA
Issued 01/30/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/12/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/11/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/20/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/2014
Series 7 - General Securities Representative Examination
BC
Issued 08/29/2014
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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