Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Clare Cahoon is an investment advisor representative at UBS Financial Services Inc. Stephen has been working in the financial industry since 1988. Stephen holds Series 6, 7, 9, 10, 24, 63, and 65 licenses and has been registered with UBS Financial Services Inc. since 2018. Stephen also has previous registration experience with Fidelity Brokerage Services LLC, Fidelity Distributors Corporation, and Fidelity Brokerage Services, 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
NY
07/30/2024 - Present
UBS Financial Services Inc. (NEW YORK NY)
NJ
05/07/2018 - 10/09/2023
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
MA
10/28/1991 - 03/15/2018
FIDELITY BROKERAGE SERVICES LLC (BOSTON MA)
NA
11/14/1989 - 10/15/1991
FIDELITY BROKERAGE SERVICES, INC.
RI
05/25/1988 - 10/15/1991
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
RI
12/20/1988 - 11/11/1989
FIDELITY DISTRIBUTORS CORPORATION (SMITHFIELD RI)
NA
11/09/1987 - 12/19/1988
FIDELITY BROKERAGE SERVICES, INC.
IA
Issued 02/08/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/22/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/23/2008
Series 24 - General Securities Principal Examination
BC
Issued 03/12/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1988
Series 7 - General Securities Representative Examination
BC
Issued 11/06/1987
Series 6 - Investment Company Products/Variable Contracts 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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