Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steve? Claim Your ProfileSteve James Moss is an investment advisor representative with UBS Financial Services Inc. Steve has been in the industry since October 7, 1994. Steve is registered with FINRA and holds Series 7, Series 63 and Series 65 licenses. Steve is also registered with the state of Texas. Steve has been with UBS Financial Services Inc. since March 2000. Before joining UBS Financial Services Inc., Steve was with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Steve is a licensed investment advisor representative in several states. Steve's current branch location is in Houston, Texas at 750 Town and Country Blvd, Suite 400, 77024.
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
TX
03/31/2000 - Present
UBS Financial Services Inc. (HOUSTON TX)
NY
10/08/1994 - 04/11/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 11/08/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/21/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/1994
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
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