Richard Milligan, financial advisor Rocky River OH
83 score

Richard Milligan

CRD Number: 1947522
Current Firm: Ubs Financial Services Inc.

Richard Milligan (CRD# 1947522) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Rocky River, OH and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Rocky River, OH Feb 2007 - Current 9
Mcdonald Investments Inc. Rocky River, OH Nov 1999 - Current 17
Liberty Securities Corporation Purchase, NY Aug 1998 - Current 18
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1989
S65 NASAA Investment Advisors Law Examination Jul 1996
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 S. Milligan
Phone Number: 201-352-3000
Registered State(s):
  • CA
  • GA
  • OH
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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