Richard A. Ebel
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 Allen Ebel, who also goes by Dick Ebel, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 7 firms and has passed the Series 63, Series 3 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2009 - April 17, 2012
UHLMANN PRICE SECURITIES, LLC
February 26, 1987 - March 13, 2009
UBS FINANCIAL SERVICES INC.
January 31, 1980 - October 30, 1986
UBS FINANCIAL SERVICES INC.
December 22, 1975 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 2, 1973 - April 30, 1974
DUPONT WALSTON, INCORPORATED
April 26, 1972 - July 2, 1973
DUPONT GLORE FORGAN INC
July 27, 1971 - June 5, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
July 24, 1970 - August 15, 1971
F I DUPONT GLORE FORGAN & CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 7/9/1970
Registered Representative ExaminationCurrent Firm
UHLMANN PRICE SECURITIES, LLC
CRD#: 42854 / SEC#: , 8-50041
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
