Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Renee Steiger is a financial advisor with UBS Financial Services Inc., and has over 20 years of experience in the industry. Caroline is registered to provide investment advice in 21 states and holds Series 7, 10, 9, 63, and 66 licenses. In addition to UBS, Caroline has worked with several other firms including Morgan Stanley, Goldman Sachs & Co., and Credit Suisse Securities (USA) LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NJ
01/30/2015 - Present
UBS Financial Services Inc. (Wall NJ)
DE
10/19/2011 - 09/04/2013
MORGAN STANLEY (WILMINGTON DE)
NJ
01/31/2011 - 10/05/2011
UBS FINANCIAL SERVICES INC. (MT. LAUREL NJ)
NY
12/12/2006 - 01/08/2008
GOLDMAN, SACHS & CO. (NEW YORK NY)
CA
01/17/2003 - 11/28/2006
CREDIT SUISSE SECURITIES (USA) LLC (LOS ANGELES CA)
NJ
10/08/2002 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NJ
05/02/2002 - 09/04/2002
BUCKMAN, BUCKMAN & REID, INC. (LITTLE SILVER NJ)
NY
12/18/2001 - 01/17/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
12/21/1998 - 06/30/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BOTH
Issued 11/07/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/21/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/07/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/14/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/2011
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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