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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 Richard Johnston is a financial advisor registered with UBS Financial Services Inc. with over 30 years of experience in the financial services industry. Stephen Richard Johnston is licensed to offer securities advice in multiple states including California, Colorado, Florida, Maine, Maryland, Massachusetts, New Hampshire, New Mexico, New York, Ohio, Pennsylvania, South Carolina, Texas, Vermont, and Virginia. Stephen Richard Johnston has held past registration with firms like Citigroup Global Markets Inc. and PaineWebber Incorporated. Stephen Richard Johnston holds Series 7 and Series 63 licenses.
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
NH
09/22/2008 - Present
UBS Financial Services Inc. (CONCORD NH)
NH
07/09/1996 - 05/12/2008
CITIGROUP GLOBAL MARKETS INC. (MANCHESTER NH)
NJ
12/17/1990 - 07/02/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 12/28/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/1990
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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