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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 Bauer has been in the financial services industry since July 25, 1984. Stephen is currently registered with UBS Financial Services Inc. as an Investment Advisor Representative in Connecticut, Florida and Texas. Stephen has been with UBS Financial Services Inc. since April 2009. Previously, Stephen was registered with CITIGROUP GLOBAL MARKETS INC. and LEHMAN BROTHERS INC. Stephen is a Series 63, 65 and 7 licensed professional and has passed the SIE exam. Stephen specializes in providing financial planning and investment advice to individuals, families, businesses and institutions.
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
CT
11/29/2012 - Present
UBS Financial Services Inc. (WESTPORT CT)
CT
07/31/1993 - 04/23/2009
CITIGROUP GLOBAL MARKETS INC. (WESTPORT CT)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/26/1984 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 04/08/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1984
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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