RM
RM

Richard Milligan

35 Years of Experience
Rocky River, OH
1 DisclosureBroker

Richard Milligan is a registered investment advisor at UBS Financial Services INC., based in Rocky River, OH, with 35 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

18500 Lake Road, Suite 400, Rocky River, OH, 44116

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History

Regulatory History (1)
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Customer Dispute
May 1992
Final
Employment History
Current Registrations
UBS Financial Services INC.Broker
February 2007 - Present · 19 yrs 3 mos
UBS Financial Services INC.
February 2007 - Present · 19 yrs 3 mos
Previous Registrations
Mcdonald Investments INC.
July 2005 - February 2007 · 1 yr 7 mos
Mcdonald Investments INC.Broker
November 1999 - February 2007 · 7 yrs 3 mos
Natcity Insurance Services, INC.Broker
August 1999 - November 1999 · 3 mos
Liberty Securities CorporationBroker
August 1998 - September 1999 · 1 yr 1 mo
Natcity Investments, INC.Broker
June 1996 - November 1999 · 3 yrs 5 mos
Independent Financial Securities, INC.Broker
May 1994 - August 1998 · 4 yrs 3 mos
National City Investments CorporationBroker
June 1992 - June 1996 · 4 yrs
Dean Witter Reynolds INC.Broker
June 1989 - March 1991 · 1 yr 9 mos
State Registrations37 states
AKAZCACOCTDCFLGAIAIDILINKYMAMDMIMNMOMSMTNCNHNJNVNYOHORPARISCTNTXUTVAWAWIWV
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.