Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen James Fish is an investment advisor representative of UBS Financial Services Inc. based in Cincinnati, Ohio. Stephen is a highly experienced financial professional with over 30 years in the industry. Stephen has a strong track record of success in providing comprehensive financial planning and investment management services to a wide range of clients, including individuals, families, businesses, and retirement plans. Stephen holds Series 7, 24, 63, and 65 licenses and is registered to conduct business in multiple states.
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
OH
06/03/2013 - Present
UBS Financial Services Inc. (CINCINNATI OH)
OH
01/13/2006 - 06/11/2013
J.J.B. HILLIARD, W.L. LYONS, LLC (CINCINNATI OH)
PA
01/01/2004 - 01/20/2006
PNC INVESTMENTS (PITTSBURGH PA)
KY
04/21/1999 - 01/01/2004
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
PA
12/23/1994 - 04/21/1999
PNC BROKERAGE CORP (PITTSBURGH PA)
PA
06/11/1990 - 12/23/1994
PNC SECURITIES CORP (PITTSBURGH PA)
NA
11/23/1988 - 06/11/1990
CENTRAL TRADE$AVER, INC.
IA
Issued 11/22/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/30/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/1991
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/1988
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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