Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Everett Rotondo is a financial advisor with over 30 years of experience in the industry. Stephen currently works for UBS Financial Services Inc. Stephen is registered with the state of Connecticut as an investment advisor representative. Stephen has held past positions with firms such as Wells Fargo Advisors, LLC and Prudential Securities Incorporated. Stephen has obtained several licenses throughout his career, including Series 3, 7, 8, 9, 10, 63, 65, 99TO, and 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
CT
04/12/2016 - Present
UBS Financial Services Inc. (HARTFORD CT)
CT
05/02/2006 - 03/30/2016
WELLS FARGO ADVISORS, LLC (GLASTONBURY CT)
MO
07/01/2003 - 06/16/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
09/25/1990 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
06/22/1988 - 10/13/1988
HIBBARD BROWN & CO., INC.
NA
05/25/1988 - 05/31/1988
SHERWOOD CAPITAL, INC.
IA
Issued 08/06/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/06/1988
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 03/03/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/06/1999
Series 3 - National Commodity Futures Examination
BC
Issued 05/21/1988
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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