RM
CFP
RM
CFP
Richard Mirrielees
13 Years of Experience
Cincinnati, OH
1 DisclosureBroker
Richard Mirrielees is a CFP-designated registered investment advisor at UBS Financial Services INC., based in Cincinnati, OH, with 13 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
8044 Montgomery Road, Cincinnati, OH, 45236
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 2025Settled
Employment History
Current Registrations
UBS Financial Services INC.
January 2019 - Present · 7 yrs 9 mos
UBS Financial Services INC.
March 2017 - Present · 9 yrs 7 mos
UBS Financial Services INC.Broker
March 2017 - Present · 9 yrs 7 mos
Previous Registrations
Fidelity Brokerage Services LLCBroker
October 2012 - January 2017 · 4 yrs 3 mos
State Registrations30 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.
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