Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Robert Laddy is an active registered representative with UBS Financial Services Inc. Stephen has over 20 years of experience in the financial services industry, specializing in providing financial advice to individuals, corporations, and institutions. Stephen is also a registered Investment Advisor Representative in New Jersey and Texas. Stephen has a broad range of experience, including portfolio management, financial planning, and retirement planning. Prior to joining UBS Financial Services Inc. Stephen was registered with Morgan Stanley and BANC OF AMERICA INVESTMENT SERVICES, INC. Stephen is committed to providing personalized financial guidance and 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
NJ
05/10/2022 - Present
UBS Financial Services Inc. (PARAMUS NJ)
NJ
06/01/2009 - 05/27/2014
MORGAN STANLEY (RIDGEWOOD NJ)
NJ
04/13/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (RIDGEWOOD NJ)
NJ
10/20/2004 - 04/17/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (GLEN ROCK NJ)
NY
08/07/2000 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
NY
05/05/1998 - 08/07/2000
FLEET ENTERPRISES, INC. (NEW YORK NY)
NY
03/02/1998 - 05/18/1998
PRIME CAPITAL SERVICES, INC. (POUGHKEEPSIE NY)
IA
Issued 11/24/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/16/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/27/1998
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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