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Richard Held

UBS Financial Services INC.
54 Years of Experience
Chicago, IL
5 DisclosuresBroker
View SEC Summary
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Richard Held is a registered investment advisor at UBS Financial Services INC., based in Chicago, IL, with 54 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.

UBS Financial Services INC.
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
View Full SEC Brochure

Location

1 North Wacker Drive, 32nd & 33rd, Chicago, IL, 60606

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History

Regulatory History (5)
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
September 2019
Award / Judgment
Customer Dispute
February 2012
Denied
Customer Dispute
July 2008
Settled
Customer Dispute
May 2008
Settled
Customer Dispute
October 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other 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.
January 1995 - Present · 31 yrs 9 mos
UBS Financial Services INC.Broker
January 1995 - Present · 31 yrs 9 mos
Previous Registrations
Kidder, Peabody & CO. IncorporatedBroker
December 1986 - January 1995 · 8 yrs 1 mo
The Chicago CorporationBroker
August 1985 - December 1986 · 1 yr 4 mos
The Chicago CorporationBroker
July 1985 - August 1985 · 1 mo
Drexel Burnham Lambert IncorporatedBroker
September 1980 - August 1985 · 4 yrs 11 mos
Paine, Webber, Jackson & Curtis INC.Broker
January 1980 - October 1980 · 9 mos
Blyth Eastman Dillon & CO. IncorporatedBroker
November 1972 - January 1980 · 7 yrs 2 mos
Eastman Dillon, Union Securities & CO., IncorporatedBroker
July 1972 - November 1972 · 4 mos
State Registrations52 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWIWVWY
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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