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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 Michael is a financial advisor who has been in the industry since 2021. Stephen Michael currently works for UBS Financial Services Inc. and is registered in 51 states and the District of Columbia. Stephen Michael has passed the Series 66, Series 3, Series 7TO and Series 10, Series 9 and SIE exams. Stephen Michael holds a number of designations. Stephen Michael specializes in providing investment advice for high net worth individuals, corporations and other businesses, charitable organizations and pension and profit sharing plans.
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
MO
11/27/2021 - Present
UBS Financial Services Inc. (Kansas City MO)
BOTH
Issued 11/27/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/06/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/09/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/23/2024
Series 3 - National Commodity Futures Examination
BC
Issued 11/02/2021
Series 7TO - General Securities Representative Examination
BC
Issued 06/30/2021
SIE - Securities Industry Essentials 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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