Richard Allen Flippo at UBS FINANCIAL SERVICES INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 5535853
Richard Allen Flippo is an Investment Adviser, associated with UBS FINANCIAL SERVICES INC. located at Mt. Pleasant, SC. Richard Flippo’s Central Registration Depository (CRD) number is 5535853 and the FINRA Profile can be found at –

Disclosure #1 for Richard Flippo

    • Event Date: 5/15/2006
    • Disclosure Type: Criminal
    • Disclosure Resolution: Final Disposition
    • Disclosure Detail :: Criminal Charges :: Charges: UNLAWFUL USE OF LICENSE
    • Disposition: NOLLE PROSEQUI
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Should I file a FINRA complaint against brokers like Richard Allen Flippo?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by Richard Allen Flippo’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

See also  ANDREW WADE KITTELSON at UBS FINANCIAL SERVICES INC. - View Complaints, Disclosures, Scams and Audit Report (Updated 2023) helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.

Frequently Asked Questions About Richard Allen Flippo

What is Richard Flippo's Central Registration Depository (CRD) Number?


Which firm is Richard Allen Flippo associated with?


Where is Richard Flippo located?

941 Houston Northcutt Blvd, Mt. Pleasant, SC, 29464

Where can I find more details about Richard Flippo's Investment Firm?

Visit to read a detailed report for UBS FINANCIAL SERVICES INC.

Are there any disclosures, allegations or complaints filed against Richard Allen Flippo?

Yes. There are disclosures, allegations, or complaints filed against Richard Allen Flippo. Click here to view all details

Where can I download a detailed FINRA report for Richard Flippo?

Click here to download a detailed FINRA report for Richard Flippo

Is it safe to do business with Richard Allen Flippo?

We’re not sure. Please research Richard Flippo’s disclosures, allegations and complaints before taking a decision

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Originally reported on November 17, 2022 @ 9:00 pm

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