Richard Warren Stockton
Investment adviser representative at UBS Financial Services Inc.
8 yearsExperience
2 statesRegistered in
$915.8BFirm assets
55 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
8 years in the industry.
- UBS Financial Services Inc.Jul 2024 to now
- UnemployedMay 2024 to Jul 2024
- Morgan Stanley PwmJun 2023 to Aug 2023
- Sandalwood SecuritiesMay 2022 to Jul 2022
- Wake Forest UniversityAug 2020 to May 2024
- Siasconset Casino AssociationJun 2017 to Aug 2021
- Delbarton SchoolAug 2016 to May 2020
Exams passed
- Series 66 · Uniform Combined State Law2024
State registrations
Registered as an investment adviser representative in 2 states (NC, NJ).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7723467
- Firm CRD
- 8174