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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Colleen? Claim Your ProfileColleen Stein is a financial advisor with UBS Financial Services Inc. Colleen has been in the industry since 1996 and joined UBS Financial Services Inc. in 2009. She is registered to provide investment advice in Ohio and Florida. Prior to working for UBS Financial Services Inc., Colleen worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Colleen has passed the Series 7, Series 66, and SIE exams. Colleen specializes in providing financial planning, portfolio management, and retirement planning services.
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
OH
01/22/2009 - Present
UBS Financial Services Inc. (WESTLAKE OH)
OH
06/30/2004 - 01/20/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (AKRON OH)
NY
04/12/2000 - 04/19/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
03/28/1997 - 05/09/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NE
12/06/1996 - 12/23/1996
SECURITIES AMERICA, INC. (LAVISTA NE)
MO
06/27/1996 - 11/05/1996
EVEREN SECURITIES, INC. (ST. LOUIS MO)
BOTH
Issued 11/06/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/1996
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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