RM
RM
Richard Milligan
36 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 36 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
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- 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.
One-Time Plan:$500 - $50,000
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Location
18500 Lake Road, Suite 400, Rocky River, OH, 44116
Get directionsHistory
Regulatory History (1)
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
May 1992Final
Employment History
Current Registrations
UBS Financial Services INC.Broker
February 2007 - Present · 19 yrs 8 mos
UBS Financial Services INC.
February 2007 - Present · 19 yrs 8 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 Registrations38 states
AKAZCACOCTDCFLGAIAIDILINKYMAMDMEMIMNMOMSMTNCNHNJNVNYOHORPARISCTNTXUTVAWAWIWV
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.
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