Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Sorensen has been an active investment professional in the financial industry since June 4, 1992. Stephen has a long history of experience at several financial institutions, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Advisors, LLC, and A. G. Edwards & Sons, Inc. Stephen is currently registered with UBS Financial Services Inc. and provides financial services to individuals, corporations, trusts, high-net-worth individuals, and other institutions. Stephen is a highly experienced financial professional, and is committed to helping clients achieve their financial goals.
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
SC
11/05/2021 - Present
UBS Financial Services Inc. (GREENVILLE SC)
SC
11/02/2012 - 11/08/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREENVILLE SC)
SC
01/01/2008 - 11/05/2012
WELLS FARGO ADVISORS, LLC (GREENVILLE SC)
SC
06/02/1995 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SPARTANBURG SC)
NY
06/05/1992 - 06/09/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 04/28/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/29/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/27/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/25/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/1992
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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