Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen W. Davis is an investment advisor representative with UBS Financial Services Inc., a firm with offices in Westlake Village, CA. Stephen has been in the financial services industry since 1994, and holds Series 7, 9, 10, 63, and 65 licenses. Stephen W. Davis is also registered with the state of Nevada as an Investment Advisor Representative. Stephen has experience providing financial advice to individuals and businesses, and has a broad range of experience and knowledge in the financial services industry.
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
CA
04/28/2014 - Present
UBS Financial Services Inc. (WESTLAKE VILLAGE CA)
CA
03/10/1994 - 04/28/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTLAKE VILLAGE CA)
IA
Issued 04/05/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/16/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/06/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/30/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/1994
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 Davis is the right advisor for you? Invested Better is here to help.
