Richard Duarte

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  San Diego, CA
• 11/2016 → 06/2021
  Wells Fargo Clearing Services, Llc
  San Diego, CA
• 06/2021 → 09/2023
  Morgan Stanley Smith Barney Llc
  San Diego, CA
• 08/2021 → 09/2023
  Morgan Stanley Private Bank, N.A
  New York, NY
• 09/2023 → Present
  Ubs Financial Services, Inc.
  San Diego, CA
• 08/2021 → Present
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 2021-06-14 → 2023-09-20
  Morgan Stanley
  San Diego, CA
• 2003-07-01 → 2021-06-18
  Wells Fargo Clearing Services, Llc
  San Diego, CA
  San Diego, CA
• 2000-01-06 → 2003-07-01
  Prudential Equity Group, Llc
  San Diego, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-07-14
• S63 Uniform Securities Agent State Law Examination
  1997-06-20

Other Names

• Jose Ricardo Duarte