Richard C. Talbot
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Casey Talbot, who also goes by Richard Casey Talbot Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2013 - January 30, 2025
UBS ASSET MANAGEMENT (US) INC.
July 13, 2010 - February 5, 2013
DEUTSCHE BANK SECURITIES INC.
March 4, 2009 - July 1, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2007 - July 1, 2010
BANC OF AMERICA SECURITIES LLC
October 29, 1999 - March 30, 2007
UBS SECURITIES LLC
September 30, 1997 - October 13, 1999
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
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