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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Mark Sullivan is a financial advisor with over 39 years of experience in the industry. Stephen is registered with Raymond James & Associates, Inc. in Coral Gables, Florida. Prior to joining Raymond James & Associates, Inc., Stephen was a financial advisor at UBS Financial Services Inc. and UBS International Inc. Stephen has a broad range of experience in the financial services industry, and is committed to providing his clients with personalized financial advice and guidance.
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.
Please see note in schedule d - miscellaneous
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.
1
2
FL
06/03/2020 - Present
Raymond James & Associates, Inc. (CORAL GABLES FL)
FL
01/01/2010 - 06/12/2020
UBS FINANCIAL SERVICES INC. (CORAL GABLES FL)
FL
06/03/2002 - 01/01/2010
UBS INTERNATIONAL INC. (CORAL GABLES FL)
NJ
07/28/1997 - 06/03/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
03/01/1993 - 06/11/1997
M. J. WHITMAN, INC. (NEW YORK NY)
FL
04/26/1983 - 02/04/1993
FAIC SECURITIES, INC. (MIAMI FL)
IA
Issued 10/07/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/18/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/26/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/18/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/09/1993
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/2001
Series 3 - National Commodity Futures Examination
BC
Issued 11/17/1984
Series 7 - General Securities Representative Examination
BC
Issued 04/22/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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