RC
RC

Richard Childs

41 Years of Experience
Sugar Land, TX
Broker

Richard Childs is a registered investment advisor at UBS Financial Services INC., based in Sugar Land, TX, with 41 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

Sugar Land, TX

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Richard is affiliated with FINRA at One Liberty Plaza in New York, NY, since 2015. This appears to be a non-profit activity.

Employment History
Current Registrations
UBS Financial Services INC.
January 2014 - Present · 12 yrs 4 mos
UBS Financial Services INC.Broker
January 2014 - Present · 12 yrs 4 mos
UBS Financial Services INC.
January 2014 - Present · 12 yrs 4 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - January 2014 · 4 yrs 7 mos
Morgan Stanley
June 2009 - January 2014 · 4 yrs 7 mos
Citigroup Global Markets INC.Broker
February 2006 - June 2009 · 3 yrs 4 mos
Citigroup Global Markets INC.
February 2006 - June 2009 · 3 yrs 4 mos
Legg Mason Wood Walker INC
December 2002 - February 2006 · 3 yrs 2 mos
Legg Mason Wood Walker, IncorporatedBroker
December 2002 - February 2006 · 3 yrs 2 mos
Prudential Securities Incorporated
September 2000 - December 2002 · 2 yrs 3 mos
Prudential Securities IncorporatedBroker
September 2000 - December 2002 · 2 yrs 3 mos
Painewebber IncorporatedBroker
January 2000 - September 2000 · 8 mos
Mercer Global Securities LLCBroker
June 1999 - January 2000 · 7 mos
Painewebber IncorporatedBroker
August 1994 - October 1997 · 3 yrs 2 mos
Prudential Securities IncorporatedBroker
October 1983 - August 1994 · 10 yrs 10 mos
Dominick & Dominick, IncorporatedBroker
June 1983 - October 1983 · 4 mos
First New England Securities CorporationBroker
April 1983 - December 1984 · 1 yr 8 mos
State Registrations15 states
ALAZCACOFLILKSMAMDNYOKPATXVTWA
AdvisorBrokerBoth

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
No exam information available for this advisor.
Richard Childs - Financial Advisor | TrueAdvisor