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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 Edward Cornwell is a financial advisor who has been in the industry since 1991. Stephen is currently registered with UBS Financial Services Inc. Stephen has been with UBS Financial Services Inc. since 2008. Prior to UBS Financial Services Inc., Stephen was registered with Citigroup Global Markets Inc., PaineWebber Incorporated, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Stephen is licensed in several states, including Texas, California, Colorado, Florida, Louisiana, Massachusetts, Missouri, Nevada, New York, North Carolina, Oklahoma, Pennsylvania, and Alabama. Stephen holds the Series 7 and Series 63 securities licenses.
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
03/28/2008 - Present
UBS Financial Services Inc. (BEAUMONT TX)
TX
08/30/1996 - 04/07/2008
CITIGROUP GLOBAL MARKETS INC. (BEAUMONT TX)
NJ
10/11/1992 - 09/13/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
10/17/1991 - 10/07/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 11/07/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1991
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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