Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Michael has been in the financial services industry since 1998. Stephen is currently registered with UBS Financial Services Inc., and has previously held positions at Credit Suisse Securities (USA) LLC, Commonwealth Financial Network, Morgan Stanley & Co., Incorporated, Robertson Stephens, Inc., Paine Webber Incorporated, and Putnam Mutual Funds Corp. Stephen has a strong track record of success in the financial services industry, and is committed to providing his clients with the highest level of service and expertise.
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
MA
10/01/2015 - Present
UBS Financial Services Inc. (BOSTON MA)
MA
04/21/2003 - 10/19/2015
CREDIT SUISSE SECURITIES (USA) LLC (BOSTON MA)
MA
05/08/2002 - 04/22/2003
COMMONWEALTH FINANCIAL NETWORK (WALTHAM MA)
NY
08/10/2001 - 11/30/2001
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
CA
03/03/2000 - 08/07/2001
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
NJ
03/04/1998 - 11/07/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
MA
01/16/1997 - 08/14/1997
PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)
BOTH
Issued 09/29/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/15/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1998
Series 7 - General Securities Representative Examination
BC
Issued 01/15/1997
Series 6 - Investment Company Products/Variable Contracts 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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