RG
RG

Richard Greenspan

42 Years of Experience
New York, NY
7 DisclosuresBroker

Richard Greenspan is a registered investment advisor at UBS Financial Services INC., based in New York, NY, with 42 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

299 Park Avenue, 8TH, 9TH, & 11TH Floors, New York, NY, 10171

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History

Regulatory History (7)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2010
Settled
Customer Dispute
August 2010
Settled
Customer Dispute
May 2009
Withdrawn
Customer Dispute
February 2009
Settled
Customer Dispute
May 2004
Denied
Customer Dispute
May 2003
Settled
Customer Dispute
January 1995
Settled
Other Business Activities

Richard is a board member for Bigvision, a foundation creating a sober living community for teens. He makes big picture decisions and guides the organization's direction.

Employment History
Current Registrations
UBS Financial Services INC.
July 2014 - Present · 11 yrs 10 mos
UBS Financial Services INC.Broker
November 2008 - Present · 17 yrs 6 mos
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
April 2007 - November 2008 · 1 yr 7 mos
Morgan Stanley Dw INC.Broker
September 1999 - April 2007 · 7 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1993 - September 1999 · 5 yrs 11 mos
Smith Barney Shearson INC.Broker
July 1993 - October 1993 · 3 mos
Lehman Brothers INC.Broker
April 1988 - July 1993 · 5 yrs 3 mos
E. F. Hutton & Company INCBroker
November 1987 - April 1988 · 5 mos
Prudential-Bache Securities INC.Broker
October 1983 - December 1987 · 4 yrs 2 mos
Broadchild Securities CORP.Broker
July 1983 - October 1983 · 3 mos
State Registrations24 states
AZCACOCTDEFLHIILINMAMDMIMNNCNJNYPARISCTNTXUTVAVT
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.