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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 Collins is a financial advisor with UBS Financial Services Inc. based in Westport, CT. Stephen has been in the financial services industry for 27 years and has been registered with the Securities and Exchange Commission (SEC) as an investment advisor representative since 2008. Stephen has a wide range of experience in the financial services industry, including working with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations. Stephen is also a registered representative with FINRA. Stephen is dedicated to providing his clients with personalized financial advice and guidance. Stephen holds Series 7, 63, and 65 licenses and has a strong track record of success in the financial services industry.
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
CT
07/26/2022 - Present
UBS Financial Services Inc. (WESTPORT CT)
CT
10/03/2016 - 08/20/2020
RAYMOND JAMES & ASSOCIATES, INC. (Greenwich CT)
NY
05/02/2012 - 10/06/2016
CITIGROUP GLOBAL MARKETS INC. (CHAPPAQUA NY)
CT
10/23/2009 - 05/04/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREENWICH CT)
CT
11/23/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (GREENWICH CT)
NY
04/02/2007 - 11/26/2007
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
08/13/2004 - 04/02/2007
MORGAN STANLEY DW INC. (NEW YORK NY)
NY
12/16/2002 - 08/24/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
04/16/2001 - 12/19/2002
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
10/20/1997 - 04/20/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
09/30/1996 - 10/28/1997
PRIME CHARTER LTD. (NEW YORK NY)
NY
04/15/1996 - 10/18/1996
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
NY
10/02/1995 - 05/08/1996
SANDS BROTHERS & CO., LTD. (NEW YORK NY)
IA
Issued 12/16/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/10/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/1995
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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