Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Richard Cordill is a financial advisor with UBS Financial Services Inc. Stephen has been in the industry since February 20, 1987 and has experience working with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations. Stephen holds multiple licenses and certifications, including Series 3, 7, 9, 10, 24, 63, and 65. Stephen also serves as a Finance Committee Member for Briar Club.
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
01/28/2016 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
08/30/2013 - 02/02/2016
DEUTSCHE BANK SECURITIES INC. (HOUSTON TX)
TX
08/09/2011 - 09/03/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
TX
04/18/2006 - 08/08/2011
SANDERS MORRIS HARRIS INC. (HOUSTON TX)
TX
01/03/2003 - 04/17/2006
OPPENHEIMER & CO. INC. (HOUSTON TX)
NY
07/06/1992 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NA
03/28/1995 - 04/18/1995
OPPENHEIMER & CO., INC.
TN
06/13/1990 - 12/12/1991
ALLIANCE FUND DISTRIBUTORS, INC. (NASHVILLE TN)
NY
06/25/1986 - 05/08/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
BC
Issued 4/21/1995
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/19/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/21/2009
Series 24 - General Securities Principal Examination
BC
Issued 7/28/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/1998
Series 3 - National Commodity Futures Examination
BC
Issued 6/21/1986
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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