Richard Steven Milligan

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-07-10
CA	RA	APPROVED	2007-02-09
GA	RA	APPROVED	2007-02-09
OH	RA	APPROVED	2007-02-09

TX RA
APPROVED_RES

Since 2019-07-10
CA RA
APPROVED

Since 2007-02-09
GA RA
APPROVED

Since 2007-02-09
OH RA
APPROVED

Since 2007-02-09

Branch Locations

18500 Lake Road Suite 400, Rocky River, OH 44116 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Liberty Securities Corporation	Purchase	NY	08/1998	Present
Mcdonald Investments Inc.	Rocky River	OH	11/1999	Present
Ubs Financial Services Inc.	Rocky River	OH	02/2007	Present

08/1998 → Present

Liberty Securities Corporation

Purchase, NY
11/1999 → Present

Mcdonald Investments Inc.

Rocky River, OH
02/2007 → Present

Ubs Financial Services Inc.

Rocky River, OH

Previous Registrations

2005-07-14 → 2007-02-09

Keybanc Capital Markets Inc.

Rocky River, OH

Rocky River, OH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-07-02
S63	Uniform Securities Agent State Law Examination	1989-07-14

S65 Uniform Investment Adviser Law Examination

1996-07-02
S63 Uniform Securities Agent State Law Examination

1989-07-14

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews