Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Riebe has been a financial advisor for over 39 years and is currently registered with UBS Financial Services Inc. in Austin, Texas. Stephen Riebe has a broad range of experience in the financial industry, having worked for several prominent firms including Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Legg Mason Wood Walker, Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and John Hancock Distributors, Inc. Stephen holds several licenses and certifications, including Series 6, 7, 9, 10, 31, 63, and 65. Stephen is also a Chartered Financial Consultant. Stephen is dedicated to helping clients achieve their financial goals.
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
TX
10/14/2011 - Present
UBS Financial Services Inc. (AUSTIN TX)
TX
06/01/2009 - 11/04/2011
MORGAN STANLEY SMITH BARNEY (AUSTIN TX)
TX
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (AUSTIN TX)
MD
11/09/1999 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
06/03/1991 - 11/11/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MA
03/19/1984 - 06/21/1991
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
03/19/1984 - 06/21/1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
IA
Issued 08/08/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/20/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/28/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/11/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 04/18/1991
Series 7 - General Securities Representative Examination
BC
Issued 03/16/1984
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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