Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Hsu is a financial professional with over 20 years of experience in the financial services industry. Stephen has a strong background in investment banking and has held positions at several prominent firms, including UBS Securities LLC, Lehman Brothers Inc., and Thomas Weisel Partners LLC. Stephen is currently registered with BA Securities, LLC and holds Series 7, 79 and 63 licenses. Stephen is also a Series SIE exam holder. Stephen is committed to providing clients with personalized financial advice and guidance.
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.
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.
1
2
PA
08/08/2012 - Present
BA Securities, LLC (W. CONSHOHOCKEN PA)
CA
03/08/2012 - 04/24/2012
INNOVATION CAPITAL, LLC (LOS ANGELES CA)
CA
10/24/2005 - 01/10/2007
CAPPELLO CAPITAL CORP. (SANTA MONICA CA)
NY
08/12/2004 - 09/16/2005
UBS SECURITIES LLC (NEW YORK NY)
CA
08/08/2003 - 07/13/2004
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
NY
10/22/2001 - 07/17/2002
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 12/09/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/11/2011
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 10/20/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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