Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephanie? Claim Your ProfileStephanie Kelly is a financial advisor at UBS Financial Services Inc. Stephanie has been in the industry since 2006. Stephanie is licensed in several states and is also registered as an Investment Advisor Representative in Ohio. Stephanie has passed the Series 7 and Series 63 exams, as well as the Securities Industry Essentials Examination (SIE). Stephanie has previous experience at Morgan Keegan & Company, Inc., Morgan Stanley Smith Barney, and Citigroup Global Markets Inc.
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
08/30/2011 - Present
UBS Financial Services Inc. (Miamisburg OH)
OH
02/18/2011 - 08/16/2011
MORGAN KEEGAN & COMPANY, INC. (MIAMISBURG OH)
OH
06/01/2009 - 02/28/2011
MORGAN STANLEY SMITH BARNEY (DAYTON OH)
OH
08/15/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (DAYTON OH)
BC
Issued 09/28/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/2006
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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