Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Paul? Claim Your ProfilePaul Stevens is a registered representative and investment advisor representative with UBS Financial Services Inc. Paul has over 30 years of experience in the financial services industry and has been with UBS since June 2001. Paul is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Paul holds a Series 3, 7, 9, 31, and 63 license, as well as a Series 65 license. Paul is also a registered investment advisor in New Jersey and Pennsylvania.
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
04/04/2024 - Present
UBS Financial Services Inc. (Warren NJ)
NY
01/01/1991 - 10/26/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CO
04/24/1990 - 05/16/1990
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
IA
Issued 10/16/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/14/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/25/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 04/21/1990
Series 7 - General Securities Representative Examination
BC
Issued 01/19/1988
Series 3 - National Commodity Futures 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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