Richard Spivey, financial advisor Bethesda MD
86 score

Richard Spivey

CRD Number: 1062792
Current Firm: United Brokerage Services Inc.

Richard Spivey (CRD# 1062792) is an Investment Advisor Representative working at United Brokerage Services Inc. in Bethesda, MD and has over 9 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
United Brokerage Services, Inc. Parkersburg, WV Oct 2011 - Current 5
United Bank Parkersburg, WV Oct 2011 - Current 5
M Holdings Securities, Inc. Portland, OR May 2009 - Sep 2011 2
Mezrah Consulting Sparks, MD May 2009 - Sep 2011 2
Woodbury Financial Services, Inc. Woodbury, MN Dec 2004 - May 2009 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 2007
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Richard D. Spivey
Phone Number: 888-424-6158
Registered State(s):
  • MD
  • VA
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States


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