Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Kincade is a financial advisor with UBS Financial Services Inc. based in New York, NY. Stephen has been in the financial services industry since 1985 and has experience working with individual investors, corporations, and charitable organizations. Stephen is registered to offer investment advisory services in 26 states and has passed several industry exams, including the Series 7, Series 10, Series 24, and Series 66. Prior to joining UBS Financial Services Inc. Stephen was with Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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
NY
07/23/2021 - Present
UBS Financial Services Inc. (New York NY)
NJ
01/27/2012 - 07/26/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MONTVALE NJ)
NY
01/26/2009 - 01/27/2012
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
07/02/1993 - 06/03/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
CA
04/09/1990 - 07/07/1993
GRIGSBY, BRANDFORD & CO., INC. (SAN FRANCISCO CA)
NY
01/23/1985 - 01/01/1990
GOLDMAN, SACHS & CO. (NEW YORK NY)
BOTH
Issued 02/03/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/22/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/26/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/19/1985
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
Not sure Stephen Kincade is the right advisor for you? Invested Better is here to help.
