Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Lemaster Karr is a financial advisor with UBS Financial Services Inc. Stephen has been in the industry since September 26, 1983. Stephen has been registered with UBS Financial Services Inc. since July 2012. Stephen has a Series 3, 7 and 63 license. Stephen has also passed the Series 65 and SIE exams. Stephen has experience with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, Paine Webber Incorporated, Smith Barney Shearson Inc. and Lehman Brothers Inc. Stephen is registered to provide investment advice in 28 states and districts. Stephen's firm specializes in providing financial and investment advice to individuals, businesses, charitable organizations, insurance companies, pension and profit-sharing plans and high net worth individuals.
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
FL
07/27/2012 - Present
UBS Financial Services Inc. (STUART FL)
FL
06/01/2009 - 08/01/2012
MORGAN STANLEY SMITH BARNEY (STUART FL)
FL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (STUART FL)
FL
03/31/2006 - 04/02/2007
MORGAN STANLEY DW INC. (STUART FL)
MO
07/01/2003 - 04/03/2006
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
06/01/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
09/03/1993 - 06/09/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/31/1993 - 09/24/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
11/03/1986 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/27/1983 - 11/06/1986
DEAN WITTER REYNOLDS INC.
IA
Issued 09/14/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/29/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/13/1987
Series 3 - National Commodity Futures Examination
BC
Issued 09/17/1983
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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