Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Stephenson is an investment advisor representative with UBS Financial Services Inc. Eric has been in the industry since 1994 and has held positions with various financial institutions. Eric's previous employers include Morgan Stanley, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Salomon Smith Barney Inc., and Kidder, Peabody & Co. Incorporated. Eric holds the Series 7, Series 63, and Series 65 licenses.
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
05/06/2022 - Present
UBS Financial Services Inc. (PEPPER PIKE OH)
OH
06/01/2009 - 05/24/2022
MORGAN STANLEY (Pepper Pike OH)
OH
01/30/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BEACHWOOD OH)
OH
01/29/1999 - 02/03/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PEPPER PIKE OH)
NY
07/22/1994 - 02/08/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
04/22/1994 - 07/05/1994
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 04/27/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/14/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/1994
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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