Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephanie? Claim Your ProfileStephanie Kaupas is a financial advisor with over 20 years of experience in the industry. Stephanie is currently registered with UBS Financial Services Inc., where she has been employed since June 2011. She previously worked at UBS PaineWebber Inc. and Fleet Securities, Inc., among others. Stephanie is licensed to conduct business in New Jersey, and holds several industry certifications, including Series 7, Series 63, and Series 65. Stephanie's expertise includes investments and wealth management, providing financial advice to a range of clients.
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
06/14/2006 - Present
UBS Financial Services Inc. (Weehawken NJ)
NJ
02/28/2002 - 08/28/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
TX
03/08/2000 - 09/28/2001
FLEET SECURITIES, INC. (DALLAS TX)
NY
09/14/1999 - 03/09/2000
GRUNTAL & CO., L.L.C. (NEW YORK NY)
IA
Issued 4/19/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/8/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 9/16/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 7/29/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/8/2008
Series 3 - National Commodity Futures Examination
BC
Issued 4/4/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 9/13/1999
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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