Richard Held
Richard Held is a registered investment advisor at UBS Financial Services INC., based in Chicago, IL, with 53 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
Firm Size
IM Fee
Assets Under Management
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.
Location
1 North Wacker Drive, 32nd & 33rd, Chicago, IL, 60606
Get directionsHistory
Regulatory History (5)
Customer Dispute
September 2019Customer Dispute
February 2012Customer Dispute
July 2008Customer Dispute
May 2008Customer Dispute
October 2001Other Business Activities
Richard serves as trustee for two trusts, the Karen V. Smith Trust and the Cynthia L. Manning Trust. He dedicates minimal time to these activities.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Kidder, Peabody & CO. IncorporatedBroker
The Chicago CorporationBroker
The Chicago CorporationBroker
Drexel Burnham Lambert IncorporatedBroker
Paine, Webber, Jackson & Curtis INC.Broker
Blyth Eastman Dillon & CO. IncorporatedBroker
Eastman Dillon, Union Securities & CO., IncorporatedBroker
State Registrations52 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.