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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Alton Hailey is a registered investment advisor representative with UBS Financial Services Inc. Stephen has been in the financial services industry since June 12, 2000 and has been with UBS Financial Services Inc. since April 2000. Stephen holds the Series 7, 31, and 66 licenses. Stephen has an active license in 10 states including California, Colorado, Florida, Indiana, New York, North Carolina, Pennsylvania, South Carolina, Virginia and North Carolina for investment advisory. Stephen has a total of 10 approved registrations with the Securities and Exchange Commission (SEC) and FINRA.
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
NC
12/31/2001 - Present
UBS Financial Services Inc. (RALEIGH NC)
BOTH
Issued 06/24/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 06/09/2000
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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