Richard Eng
Richard Eng is a registered investment advisor at UBS Financial Services INC., based in New Haven, CT, with 44 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
Location
1 Century Tower 265 Church Street, Suite 1102, New Haven, CT, 06510
Get directionsHistory
Regulatory History (3)
Customer Dispute
May 2001Customer Dispute
April 2001Customer Dispute
August 1999Other Business Activities
Richard is affiliated with the University of New Haven and Grand Canyon University. These activities are not investment-related.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Dean Witter Reynolds INC.Broker
J. T. Moran & CO., INC.Broker
Jonathan Alan & CO., INC.Broker
North American Investment CORP.Broker
State Registrations23 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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