Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Andres is a financial advisor at UBS Financial Services Inc. He is registered with the Securities and Exchange Commission (SEC) and holds FINRA Series 63, 65, and 7 licenses. He is a registered investment advisor in California and Texas and also holds licenses to operate in other states. Stephen has been in the industry since 2007 and has experience with both individual and institutional clients. He has also been a partner in Empire MHP LLC, a real estate company, since 2016. Stephen provides financial planning, portfolio management, and other advisory services to his clients. He also specializes in pension consulting and educational seminars.
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
CA
01/07/2016 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
08/23/2007 - 02/02/2016
CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)
IA
Issued 12/20/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/17/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/22/2007
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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