Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Eugene Hagy is an active investment advisor representative (IAR) in the state of California and a registered representative (RR) in 24 states, including Arizona, Arkansas, Colorado, Delaware, District of Columbia, Georgia, Hawaii, Idaho, Illinois, Massachusetts, Michigan, Minnesota, Nevada, New Jersey, New Mexico, New York, North Carolina, Pennsylvania, South Dakota, Tennessee, Texas, Virginia, and Washington. Stephen is also a registered investment advisor (IA) in Texas. Stephen has been in the financial services industry since November 19, 1991. Stephen is currently employed by UBS Financial Services Inc. Previously, Stephen worked for Morgan Stanley, Wells Fargo Advisors Financial Network, LLC, UBS Financial Services Inc., Prudential Securities Incorporated and Baraban Securities, Inc. Stephen has passed the following exams: Uniform Securities Agent State Law Examination (Series 63), Uniform Investment Adviser Law Examination (Series 65), General Securities Representative Examination (Series 7) and the Securities Industry Essentials Examination (SIE).
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
CA
03/27/2023 - Present
UBS Financial Services Inc. (WESTLAKE VILLAGE CA)
CA
06/03/2014 - 04/18/2023
MORGAN STANLEY (Westlake Village CA)
CA
03/22/2004 - 06/04/2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (WESTLAKE VILLAGE CA)
NJ
11/19/1996 - 04/02/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
12/05/1991 - 11/20/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CA
11/11/1991 - 11/25/1991
BARABAN SECURITIES, INC. (LOS ANGELES CA)
IA
Issued 01/08/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/06/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/1991
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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